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Compliance - Regulatuary Control Advisor - Assistant Vice President
March 5, 2020
Focus on Trade Surveillance for APAC markets covering Fixed Income and FX products, including Spot FX benchmark monitoring (Actimize)
Communication Surveillance for APAC markets (electronic communications including Bloomberg, Email & Instant Messaging) related to Fixed Income and FX products
Participate in Communication and Trade Surveillance projects and UAT (user acceptance testing) for
Fixed Income and FX products
Voice Surveillance monitoring (NICE recording)
Review and investigate Surveillance escalations with peers and leads
Quality Assurance of Communication and Trade Surveillance, and documentation
Produce MI Reports for the department
Working on any ad hoc Communication and Trade Surveillance tasks
Essential Skills & Competencies
Strong attention to detail, analytical skills and sound judgement
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
Ideally experience in banking with Fixed Income and FX background
Experience in Surveillance and Compliance advantageous
Project and testing experience
English - fluency in spoken and written
Cantonese / Mandarin - viewed as an advantage
Experience with using Surveillance tools (i.e. Actimize, NICE, HP Supervisor) and Bloomberg would be advantageous
MS Office (Macro writing would be a plus)
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.
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