AVP - Compliance Officer, Trade Surveillance – Treasury and Trading

  • Competitive
  • Singapore
  • Permanent, Full time
  • Aston Carter (Allegis Group Singapore Pte Ltd) , EA Licence No: .10C4544
  • 25 Jan 18 2018-01-25

Prestigious Banking organisation with significant growth plans in Asia requires a Compliance Officer to conduct Trade/Market Surveillance on trading activities for SG & HK

Role Outline

The primary responsibility of the candidate is to perform surveillance by using the relevant surveillance systems and tools

This person will assist the Monitoring & Surveillance Head in implementing an efficient control program.


Role and Responsibilities


To identify and escalate possible market manipulation and possible market abuses being conducted in the respective markets. (SG & HK)

Core Responsibilities:

  • Assisting management and Head of Compliance Singapore in their prime responsibility to comply with all relevant Regulatory and FCC policies and procedure
  • To ensure there is an effective control framework with ongoing reviewing testing programs in place
  • Assist the Head of Compliance with Monitoring & Surveillance
  • Enhance controls over the treasury & trading activities
  • Produce surveillance reports with proper documentation and reporting of findings of alerts, investigations, follow-ups and escalations.
  • Provide updates and oversight of the surveillance function for timely resolution
  • Proactively monitor market news to gather appropriate knowledge on market and regulatory developments affecting surveillance



  • At least 4-7 years’ work experience within Financial industry or Compliance environment
  • Experience of Treasury or Trading  environments and  Capital Markets products  (e.g. Fixed Income , Equities, FX, Derivatives etc.)
  • Strong experience of trade surveillance or monitoring and testing
  • Experience of Mifid, best execution, market abuse / manipulation highly desirable
  • The candidate must be proactive and able to set up frameworks and put systems in place
  • Good Writing and Communication skills
  • Solution Oriented with the ability to resolve challenges and a good team player.
  • The person must have the confidence to advise the business and support the Singapore branch as well as the Management.

Interested candidates can forward their CV in MS word format to Shivani Gandhi at shivani.gandhi@astoncarter.com.


Only shortlisted candidates will be notified.


Allegis Group Singapore Pte Ltd, Company Reg No. 200909448N, EA Licence No. 10C4544