Trade Surveillance Officer

We are seeking for candidates with minimum 2-5 years of experience in Stock Broking or Investment Bank or any background with stock trading.

Job Responsibilities:

1. To investigate and liaise with branches and business for transaction monitoring trigger and make recommendation to supervisor and to analyze and conduct monitoring for all triggers under activities of AML and trade surveillance;
2. To work closely with Group Compliance and Business to review of the adequacy of the alerting rules and thresholds, by way of having a regular meeting in order to review and share best practices;
3. To review and propose on the threshold and parameters set for AML and trade surveillance system to committee and implement or take required to mitigate/ address any trading misconduct. To highlight emerging trend if any;
4. To review policies and procedures relating to trade surveillance and AML functions and makes recommendation for any changes;
5. To report/ escalate exception cases to Head of Securities Operations/ Head of Dealing and Trade Surveillance Committee for deliberation.

Requirements:

• Bachelor Degree/Certification in any related fields with minimum 2-5 years of experience in Stock Broking or Investment Bank or any background with stock trading is encouraged.
• Experience in trade surveillance system, eg. FRA system will be added advantage
• Detail oriented and willingness to explore new challenges for continuous improvement.
• Team player with excellent interpersonal and able to engage relevant stakeholders.
• Strong organisational and time management abilities would be an advantage.