Compliance Officer

Job Description As a Trade Surveillance Analyst, your role involves the day-to-day operation of the SMARTS monitoring tool for analyzing alerts related to Equities and Derivatives transactions across APAC. Your responsibilities include: - Investigating and resolving monitoring alerts promptly, ensuring thorough closure and escalation of significant issues when necessary. - Driving continuous improvement of the surveillance framework, including refinement and calibration. - Contributing to strategic department projects, both global and regional initiatives. - Reporting Suspicious Transaction reports (STR) to local country compliance for further investigation. - Assisting in producing effective management information reports for Senior Management. - Participating in team discussions, investigations, and knowledge acquisition. - Demonstrating a good understanding of trade surveillance terminologies and various market manipulations. - Being flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, DOI position checks, and E-comm Surveillance. Qualifications required for this role include: - Bachelors or Masters degree in Commerce and Finance/Banking. - 2-5 years of relevant experience in Trade Surveillance. - Strong analytical skills, ability to handle multiple tasks simultaneously, and work under tight deadlines. - Familiarity with SMARTS / IRESS/ Qlik Sense systems is an added advantage. - Proficiency in independently investigating and reviewing alerts generated by the SMARTS surveillance system. - Experience in conducting market conduct investigations for complex cases and drafting reports for regulatory bodies. - Comfortable engaging with external surveillance vendors at a technical level to resolve issues or advocate for system/control design changes. - Strong compliance mindset, willingness to question the 'status quo,' and challenge stakeholders when necessary. - Investigative skills with a willingness to learn other aspects of compliance. - Attention to detail, process-oriented, self-motivated with a desire to learn and be challenged. - Proficiency in Word and Excel. - Good prioritization, organizational, and multi-tasking skills. - Strong interpersonal skills and excellent written/oral communication skills. As a Trade Surveillance Analyst, your role involves the day-to-day operation of the SMARTS monitoring tool for analyzing alerts related to Equities and Derivatives transactions across APAC. Your responsibilities include: - Investigating and resolving monitoring alerts promptly, ensuring thorough closure and escalation of significant issues when necessary. - Driving continuous improvement of the surveillance framework, including refinement and calibration. - Contributing to strategic department projects, both global and regional initiatives. - Reporting Suspicious Transaction reports (STR) to local country compliance for further investigation. - Assisting in producing effective management information reports for Senior Management. - Participating in team discussions, investigations, and knowledge acquisition. - Demonstrating a good understanding of trade surveillance terminologies and various market manipulations. - Being flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, DOI position checks, and E-comm Surveillance. Qualifications required for this role include: - Bachelors or Masters degree in Commerce and Finance/Banking. - 2-5 years of relevant experience in Trade Surveillance. - Strong analytical skills, ability to handle multiple tasks simultaneously, and work under tight deadlines. - Familiarity with SMARTS / IRESS/ Qlik Sense systems is an added advantage. - Proficiency in independently investigating and reviewing alerts generated by the SMARTS surveillance system. - Experience in conducting market conduct investigations for complex cases and drafting reports for regulatory bodies. - Comfortable engaging with external surveillance vendors at a technical level to resolve issues or advocate for system/control design changes. - Strong compliance mindset, willingness to question the 'status quo,' and challenge stakeholders when necessary. - Investigative skills with a willingness to learn other aspects of compliance. - Attention to detail, process-oriented, self-motivated with a desire to learn and be challenged. - Proficiency in Word and Excel. - Good prioritization, organizational, and multi-tasking skills. - Strong interpersonal skills and excellent written/oral communication skills.