Monitoring and Surveillance Officer to assist in the prevention and detection of market abuse which, through an array of monitoring systems and tools, is a critical function of the Market Integrity domain, helping to protect the bank from reputational and financial risk arising from its global banking and markets business.
You will be required…
- To conduct trade surveillance for Equities, Fixed Income and its derivatives for potential market misconduct.
- To assess adequacy of existing surveillance model, and propose new models to be in line with regulatory requirements and perform user acceptance testing the new models.
- To conduct electronic communications monitoring for potential market misconduct.
- To conduct manual monitoring for potential market manipulations and legal/regulatory violations.
- Ensure that all surveillance framework and processes are well maintained and kept relevant.
- Collate the necessary information on the M&S task for the preparation of periodic management reporting.
- Assist in ad-hoc requests and investigations from internal & external audit, regulator and etc.
- Assist in ensuring the MI Generic Control Plan is kept up to date with changes from Head Office.
- Assist in conducting monitoring of the relevant controls under MI Generic Control Plan.
- Managing other M&S related projects such as Outsourcing, Proof of Concept etc.
- Keeping abreast of regulatory changes and market conditions/developments
Technical and Behavioural Competencies required
- Basic computer skills
- Able to work well both independently and in a team
- Able to work under tight timeline when required
- Maintain data confidentiality when working on classified projects, requests etc.
- Good interpersonal skills
Experience and Qualifications required
- Tertiary educated, preferably with a business-related degree.
- Relevant working experience in the financial industry, preferably in the area of compliance, audit or control