Role Overview
We are looking for a detail-oriented and analytical Compliance Officer, Trade Surveillance to join our Compliance team. In this role, you will help safeguard market integrity by monitoring trading activities, investigating unusual trading behaviour, reviewing surveillance alerts, and supporting regulatory enquiries.
This is an excellent opportunity for candidates interested in developing expertise in market conduct surveillance, market abuse detection, securities and derivatives trading, and regulatory compliance. You will gain exposure to Singapore's financial markets while working closely with Compliance, AML, Front Office, Operations, and regulatory authorities.
Key Responsibilities & Accountabilities
1. Trade Surveillance Monitoring and Investigations
- Monitor securities and derivatives trading activities using surveillance systems such as Nasdaq SMARTS.
- Review and investigate surveillance alerts to identify potential market misconduct, including market manipulation, spoofing, layering, wash trades, and other suspicious trading activities.
- Analyse trading patterns, client behaviour, and account relationships to assess risks and determine appropriate actions.
- Document investigation findings and escalate significant concerns with clear recommendations.
2. Regulatory and Enforcement-Related Reviews
- Support reviews arising from regulatory enquiries, production orders, and enforcement investigations.
- Gather and analyse trading records, account information, and other relevant data.
- Liaise with stakeholders across the business to obtain information and clarify trading activities.
- Assist in responses to regulators, exchanges, and internal stakeholders.
3. Trade Surveillance Reporting, Escalation and Regulatory Notifications
- Prepare investigation summaries, management reports, and escalation papers.
- Support the preparation of Suspicious Transaction Reports (STRs) where required.
- Review Direct Business (Married Deal) applications and facilitate exchange notifications when applicable.
- Maintain accurate records and ensure reviews are completed within required timelines.
4. Surveillance Parameter Review, Alert Calibration and Framework Enhancement
- Support the review and calibration of surveillance alerts and monitoring parameters.
- Assist in identifying emerging market conduct risks and control improvements.
- Participate in projects to enhance surveillance coverage, systems, and processes.
- Contribute to policy updates, regulatory inspections, audits, and ongoing compliance initiatives.
Skills & Qualifications
- Diploma or Degree in Finance, Business, Economics, Accounting, or a related field.
- 1-5 years experience in Compliance, Trade Surveillance, Regulatory Compliance, or a related function. Fresh graduates with relevant internships are welcome to apply.
- Knowledge of securities and derivatives trading, market conduct, and surveillance concepts.
- Strong analytical, investigative, and problem-solving skills with attention to detail.
- Proficient in Microsoft Excel and report writing.
- Familiarity with MAS/SGX regulations and surveillance systems (e.g. Nasdaq SMARTS, Actimize) is advantageous.
- Experience within a brokerage, bank, exchange, or financial institution is a plus.
Personal Attributes
- High integrity, professionalism, and sound judgement.
- Curious, detail-oriented, and solutions-focused.
- Strong communication and stakeholder management skills.
- Able to work independently, manage multiple priorities, and thrive in a fast-paced environment.
- Eager to build expertise in market conduct, surveillance, and regulatory compliance.
