DBS is a top equity house and a market leader in REITs and property trusts in the region. We have been recognized as pre-eminent investment bank and won a number of prestigious awards, including Best Equity House in Singapore by Asiamoney for 14 consecutive years from 2002 to 2015; Best REIT House in Asia by The Asset for four consecutive years since 2012; and Best Asia Investment Bank by FinanceAsia in 2015. At DBS, the Capital Markets Group provides equity funding solutions to our corporate clients in the region, and acts as an intermediary between issuers and our investing clients. We advise and sponsor our clients in their equity fund-raising exercises in connection with their listing ambitions on regional stock exchanges. We help our clients to raise equity funds through primary offering and/or secondary offering of shares and REITs, as well as pre-IPO platform.
Responsibilities
Uphold the integrity of the exchanges and the operations of a fair, orderly and transparent market by supervising the conduct of market participants.
Actively monitor the trading activities of participants on the trading platform.
Review alerts generated for any potential trading irregularities and escalate to Head, Regulations and Compliance on any Rule breaches.
Regularly review the alert models and policy to keep them aligned to regulatory requirements
Enforce and undertake disciplinary action for breaches of the Rules where required.
Provide compliance support including compliance monitoring, advisory and regulatory engagements and inspections.
Participate in audits, new projects and perform other duties assigned by the Head, Regulations and Compliance.
Requirements
Degree in Business, Computer Science, IT or equivalent
Knowledge of surveillance systems such as SMARTS, Solidus Labs, Actimize
Around 3 years of relevant experience in market surveillance of organised markets with an intermediary (including banks, an equities/futures brokerage, digital payment tokens services firm or an exchange)
