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VP, Market Abuse Trade Surveillance Manager, Group Compliance

Singapore, Singapore | Nationally Chartered Bank

  • Industry:
    Banking / Investment Banking
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
    7-10 years
Job Description:
107 people have viewed this job

Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.


Responsibilities:


Lead the market abuse trade surveillance activities and Compliance testing efforts for our equities brokerage and FICC businesses globally. This will include undertaking the following tasks: 


Working with the business and T&O as necessary, conduct a front to back review of our existing trade surveillance capabilities and design incremental enhancements, for both our equities brokerage and FICC business.


Provide regional oversight and liaise with overseas locations to ensure that the surveillance effort is consistently applied across the group.


Respond to anticipated MAS/SGX guidance on their expectations for broker surveillance by conducting a gap analysis and planning and implementing any necessary enhancements.


Develop a business care for a more strategic holistic market abuse trade surveillance solution to address our current and future needs across all businesses.


Continuously evaluate surveillance programs and policies for improvement, efficiencies, and updates needed to meet regulatory requirements.


Leading the day-to-day trade surveillance activities, review, investigate and manage exceptions.


Provide guidance, training, and oversight, as needed, to Compliance associates performing reviews.


Requirements:


Bachelor Degree in any related field.


Minimum 8 years of working experience, preferably with exposure to the equities brokerage and/or FICC businesses.


Trade surveillance experience is preferred.


Good communication and interpersonal skills.


Able to work in a fast-paced environment.


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