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A Top European Bank is currently looking for a Compliance Officer, Monitoring and Surveillance. This person will sit in the market APAC Monitoring and Surveillance team and responsible for reviews existing surveillance models and conduct investigations on trading activities.
Operational implementation plans and undertakings made to various regulators
Conduct trade surveillance of Equities / Equities Derivatives / FI / FX business units in order to detect potential regulatory violations, identify suspicious activity and items requiring corrective action
Analyse transaction activity detected, document findings, provide written explanations to the transaction detail, and conduct investigations into any issue that may arise during the course of analysis
Interact with Front Office Salespeople, Traders, Supervisors and Compliance Advisory staff so that an appropriate resolution may be achieved and communicate issues in a proactive manner
University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification
Extensive experience in compliance / Middle Office / Back Office experience, experience in monitoring and surveillance is preferred
Experience or specialization in an asset class such as Equities / Equities Derivatives / FI / FX
Strong analytical and investigative skills
As this is an urgent mandate, please do apply as soon as possible.