Compliance Officer – Market Surveillance & Regulatory Compliance
Analyse Trading Alerts – Monitor unusual transactions, escalate suspicious activities, and refine alert parameters. Regulatory Coordination – Liaise with regulators and law enforcement on market misconduct matters. Ensure Regulatory Adherence
Key Responsibilities Monitor Market Misconduct – Identify and investigate activities that could impact fair and transparent market operations. Enhance Surveillance Frameworks – Review and improve trade surveillance policies, procedures, and investigations.Analyse Trading Alerts – Monitor unusual transactions, escalate suspicious activities, and refine alert parameters. Regulatory Coordination – Liaise with regulators and law enforcement on market misconduct matters. Ensure Regulatory Adherence – Oversee compliance with the Securities and Futures Act, including regulatory filings and breach assessments.
Strengthen Compliance Culture – Implement policies and internal controls to foster a strong compliance framework. Regulatory Relationship Management – Maintain effective communication with regulators, including the Monetary Authority of Singapore (MAS).
Governance & Legal Support – Assist with corporate governance, board activities, whistleblowing reviews, and disciplinary matters. Requirements: A degree from a reputable institution At least 2 years of relevant experience in derivatives trading compliance or surveillance; a background in law enforcement or investigations is an advantage A team player with strong written, verbal communication, and interpersonal skills, with proficiency in Chinese Motivated individual who is able to work well in a fast pace environment IT literacy and experience working with large datasets are preferred