CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Compliance Surveillance Officer (Trade and Communication) - AVP, Singapore
In the APAC region, Surveillance team consists of teams of analysts and compliance officers located in Hong Kong, Singapore, Bangalore, Mumbai and Tokyo. The Singapore team coverage includes Equities (SGX), Listed Derivatives, Fixed Income and FX products, in addition to Communication Surveillance.
The person in Singapore will represent the Surveillance functions with primary focus on surveillance monitoring and testing on Benchmarks, Listed Derivatives, Fixed Income and FX products.
Responsibilities (not limited to the following items)
Focus on Trade Surveillance for APAC markets covering Debt (FX, Benchmark, Fixed Income and Swaps), Equities and LD products;
Review alerts in Trade Surveillance systems (Smartsbroker & Actimize);
Assist in Communication Surveillance (Audio and Ecomms) as required. Participate in Communication and Trade Surveillance projects and UAT (user acceptance testing) of new Surveillance scenarios;
Review, investigate and escalate irregularities and abnormal activities;
Ensure escalated cases are followed up and documentations are updated in a timely manner;
Conduct QA (Quality Assurance) of reviewed Communication and Trade Surveillance alerts and ensure appropriate QA documentation;
Provide training to and partner with the Bangalore team on surveillance matters;
Create MI Reports on a periodic basis to senior management;
Provide support on any ad hoc Communication and Trade Surveillance tasks and requests;
Maintain constructive and effective relationships with Front Office, Back Office functions, various Compliance teams and support all key business stakeholders;
Advising on regional regulatory developments which may impact the surveillance processes;
Essential Skills & Competencies
Strong attention to detail, analytical skills and sound judgement
Fluent in written and spoken Chinese Language is highly advantageous
Ability to assimilate large amounts of data and have the focus to identify potential issues
Be able to multitask and work on multiple projects
Compliance and Regulatory awareness
Knowledge of applicable securities rules advantageous
Team player with ability to work independently
Proactive and enthusiastic
Ability to engage people from different functions, such as, business, compliance, technology and translate the discussion into trade surveillance requirements
Identify, investigate, recommend and help implement approaches for data analytics (big data)
Experience in banking with Equities, Listed Derivatives, Fixed Income, OTC derivatives (such as IRS, CDS) and FX products background
Knowledge of various APAC benchmarks (Traded, Survey, Survey: Waterfall)
5-6 years' experience in Surveillance and Compliance preferred
Familiar with Digital Finance environment (Digital Forensic knowledge, Data analytics, apply RPA to daily workflow)
Be familiar with risks associated for each product class and the relevant market abuse scenarios.
Project and testing experience
Min Degree level preferably in finance, economics or similar nature.
English - fluent in spoken and written
Chinese - fluent in spoken and written preferred
Experience with using Surveillance tools (i.e. Actimize, Smartsbroker etc) and Bloomberg is a plus
Proficiency in MS Office (Macro writing would be a plus)
Knowledge in machine learning (in particular Deep Learning and Natural Language Processing), econometrics etc., would be valuable.
Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer. We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
Click here to find out more about diversity and inclusion at Deutsche Bank.