Executive, Trade Surveillance

Executive, Trade Surveillance

As part of the Credit Risk Management (CRMD) team, you will be establishing a Trade Surveillance Framework and taking charge of investigations relating to irregular trading or operational activities. You will ensure compliance with the Company’s policies, SGX Regulations, and SFA Requirements.

Responsibilities

• Daily review and analysis of trade surveillance exception reports, and recommendation of remedial and corrective actions.
• Escalation of any breaches of Regulatory Requirements and filing of Suspicious Transactions Reports.
• Periodic review of Company trade surveillance policies and procedures, and implementing enhancements to existing practices.
• Liaising with internal stakeholders and external Regulators regarding major findings and reporting.
• Performing ad-hoc functions or development projects assigned by Management.
• Reviewing various forms of reports, and analyzing client profiles and trading activities for various client groups to detect behaviors that may violate Regulatory Rules or Company policies.

Requirements and Qualifications

• Degree in any discipline with relevant experience.
• Possess a strong analytical mind.
• Possess strong integrity and work ethics.
• Excellent interpersonal, communication, and written skills.
• Good command of English.

Preferred Qualifications

• Familiarity with stock market trading or Trade Surveillance is preferred.
• Candidates with VBA/Python coding experience would be preferred.

Candidates with 2-3 years of relevant experience may be considered for a senior role.

If you are looking for an environment of growth and opportunities, please send a cover letter with your resume, stating the position applied, present, and expected salaries to recruitment@phillip.com.sg. We regret that only shortlisted candidates will be notified.