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Assist in developing trade surveillance policies and procedures for monitoring trading activities for any trading misconduct and money laundering suspicious transactions
Conduct daily review of trade surveillance exception reports, follow-up on exceptions noted and determine and recommend remedial or preventive actions
Review trade error reports and follow up on any irregularities noted
Escalate any breaches of regulatory requirements or misconduct or company policies
Conduct periodic review of company trade surveillance policies and procedures with the view to implement enhancements, if any to existing practices
Conduct investigation into any complaints or feedback received on any potential trading irregularities
Liaise with relevant regulators, Head Office on any major findings
Conduct awareness training to trading representatives and relevant department employees on trading practices that are prohibited under applicable laws, regulations and exchange rules
Assist Head of Department to carry out specific compliance tasks or projects as and when assigned
Degree holder with 3-5 years relevant experience
Familiarity with the relevant laws, regulations and exchange rules in the securities and futures market is an added advantage.
Meticulous, positive attitude and pro-active
Strong communication, interpersonal, analytical and organizational skills
Team player yet able to work independently and interact with people at all levels
Relevant experience in exchanges ( e.g. in market surveillance or supervision departments ) public accounting firms, securities and futures brokerage firms and other financial institutions are encouraged to apply
Interested applicant, who wish to apply for the advertised position, please submit your resume via the button APPLY NOW below.
We regret that only short listed candidates will be notified.
Internal Number: 4643803
About KGI Securities (Singapore) Pte. Ltd
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