Regulatory Compliance Associate, Trade Surveillance
- Central Region, Singapore
- Permanent
- Full-time
- Surveillance & Monitoring: Conduct daily reviews of trading activity to identify potential market abuse, insider trading, or manipulative practices.
- Derivatives Oversight: Monitor options and spot activity, with particular attention to unusual trading patterns and potential cross-product manipulation.
- Alert Management: Investigate and resolve surveillance alerts in a timely and accurate manner, escalating cases as appropriate.
- Compliance Support: Assist in ensuring the firm’s adherence to regulatory requirements (e.g., ADGM, MAS) and internal policies.
- Data Analysis: Use surveillance tools and reports to detect anomalies, patterns, or suspicious trading behaviors.
- Issue Escalation: Document findings and escalate material issues to Head of Compliance
- Reporting: Prepare regular management reports and assist with regulatory inquiries, audits, and ad hoc reviews.
- Process Improvement: Contribute to the enhancement of trade surveillance frameworks, including tuning alert parameters, testing new rules, and improving monitoring efficiency.
- Cross-Functional Collaboration: Work closely with trading desks, operations, risk, and legal teams to investigate potential breaches and support compliance initiatives.
- Bachelor’s degree
- At least 4 – 6 years of relevant experience in trade surveillance or market abuse investigation.
- Exposure to derivatives markets and their surveillance considerations.
- Familiarity with global market abuse regulations and frameworks
- Hands-on experience with trade surveillance systems (e.g., Solidus, Eventus)
- Strong analytical, investigative, and problem-solving skills.
- Excellent communication (written and verbal) and stakeholder management skills.
- Detail-oriented with the ability to manage multiple priorities in a fast-paced environment.
- Proficiency in Microsoft Excel and other data analysis tools; SQL/Python knowledge is a plus.