Senior Trade Surveillance & Compliance Analyst

Phillip Capital Inc.; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

Phillip Securities Pte Ltd (A member of PhillipCapital) is seeking a Credit Risk Management professional to establish a comprehensive Trade Surveillance Framework and handle investigations into irregular trading or operational activities. You will ensure compliance with SGX and SFA requirements, reviewing reports and client activity for compliance.

Daily duties include reviewing surveillance reports, analyzing client profiles, and detecting behaviours that may breach regulatory rules.

Qualifications

• Degree in any discipline with relevant experience.
• Familiarity with stock market trading or Trade Surveillance preferred.
• Candidates with VBA/ Python coding experience would be preferred.

Responsibilities

• Daily review and analysis of trade surveillance reports and recommend remedial actions.
• Escalation of breaches of Regulatory Requirements and filing of SARs.
• Periodic review of trade surveillance policies and procedures and implementation of enhancements.
• Liaise with internal stakeholders and external Regulators on major findings and reporting.
• Ad-hoc functions and development projects assigned by Management.

Skills

Analytical skills

Interpersonal skills

Communication skills

Written communication

English proficiency

Stock market knowledge

Trade Surveillance

VBA/Python coding

Education

Bachelor's degree

Tools

VBA

Python

Job description

Phillip Securities Pte Ltd (A member of PhillipCapital) is seeking a Credit Risk Management professional to establish a comprehensive Trade Surveillance Framework and handle investigations into irregular trading or operational activities. You will ensure compliance with SGX and SFA requirements, reviewing reports and client activity for compliance.

Daily duties include reviewing surveillance reports, analyzing client profiles, and detecting behaviours that may breach regulatory rules.