The key roles and responsibilities would include but not limited to:

  • Use surveillance tools to analyze system generated alerts across various platforms/products within the firm and locate any potential breaches of policies and/or where applicable relevant laws and regulations.
  • Support analysis conducted through Bloomberg and Internet research, and by maintaining awareness of regional markets and regulatory activity.
  • In consultation with the Team and Team Manager, refer or escalate any unusual or suspicious cases during the course of alert reviews to the relevant LOB / Country Compliance officers and/or other counterparties in accordance with the defined operational process.
  • Ensure escalated cases are followed up and documentations are updated in our case register in a timely manner.
  • Participate in market conduct related investigations
  • Attend meetings and present escalated cases as required.
  • Assist in MIS reports preparation as required.
  • Assist in establishing internal control processes and developing/updating procedures.
  • Communication and Trade Surveillance System Analysis, Testing and Design

AP Compliance Surveillance team uses proprietary, third party vendor and ad hoc targeted review schemes as part of the broader function. These processes and systems require regular maintenance that might involve system upgrades, modifications, and occasionally UAT testing as a result of technical issues, prevailing business or market conditions. All members of the team are expected to render either individual or joint effort with other team members’ contribution to systems analysis, testing and report design depending on the specific area of coverage. In addition, the candidate is expected to exercise own discipline to attend regular or ad-hoc audio conferences where required.

General Admin, Reporting, and Process Document Maintenance

In addition to owning the normal BAU (business as usual) activities, there are other tasks that are administrative in nature to be assigned to the candidate such as document & report administration for the team. These are generally executed as part of the extended tasks or areas of responsibilities.

Scope of potential contacts and stakeholders

  • Regional LOB/Core Functional Compliance Teams
  • Various Country Compliance
  • US and EMEA Surveillance Teams
  • Senior Business Management
  • Technology and Operations

Key Skills & Experience

  • Minimum 3 years of experience in financial services Middle/Bank Office environment or Broker Support and minimum 1 years in Trade and Communications Surveillance or compliance monitoring role
  • Good knowledge of trade and communications surveillance processes and systems such as SMARTS Broker and Actimize
  • Good knowledge of investment bank operating model.
  • Good knowledge in financial products such as Equities, Futures and Options, Fixed Income, FX and Commodities
  • Good analytical skills and the ability to manage several simultaneous tasks.
  • A self-motivated fast learner with the ability to work independently
  • A strong team player and able to engage people across all corporate hierarchies.
  • Flexible and adaptable to dynamically changing work processes and environment
  • Adaptability to work under time pressure and resiliency to provide stable and consistent performance
  • Excellent computer skills especially in standard Microsoft Office applications and Sharepoint.
  • Proven ability to communicate effectively in English at all levels both orally and in writing,
  • Competent in non English languages is an advantage
  • Related professional qualification helpful

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