AVP, Market Surveillance and Compliance AVP, Market Surveillance and Compliance …

DBS Bank Limited
in Singapore
Permanent, Full time
Last application, 24 Nov 20
Competitive
DBS Bank Limited
in Singapore
Permanent, Full time
Last application, 24 Nov 20
Competitive
AVP, Market Surveillance and Compliance
Business Function

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.

Key Accountabilities

  • Actively monitor the trading activities of Members and end users on the digital platform
  • Review alerts generated for any potential trading irregularities and escalate to Head, Regulations and Compliance on any potential breaches of Rules
  • Enforce and undertake disciplinary action for breaches of the Rules where required
  • Provide compliance support including compliance testing, reviews and monitoring
  • Participate in audits and new projects and perform other duties assigned by the Head, Regulations and Compliance
Responsibilities
  • Review and investigate alerts generated by the surveillance systems and periodically review and update the alert parameters
  • Escalate any potential irregularities to Head, Regulations and Compliance and assist in enforcement actions for breaches of rules
  • Assist with the compliance work plan and conduct compliance testing, assessment and reviews on outsourced service providers to provide assurance to board of directors and senior management on the compliance with regulatory obligations
  • Liaise with internal stakeholders (within the digital program business and other units within the bank (such as LCS)) and external parties (including issuers and members).
  • Ability to multitask and keen to learn, take initiative and go beyond the scope of work
  • Assist in audits and perform any other duties assigned by the Head, Regulations and Compliance
Requirements
  • Degree/Diploma or professional qualification in accountancy, finance or related field
  • At least 3 to 5 years of relevant experience in a capital market services intermediary (including a brokerage or an exchange) or a financial services regulatory authority
  • Prior experience in managing market surveillance process.
  • Understanding of trading on an exchange/organised market, and knowledge of AML/CFT matters will be an asset.
  • Good understanding of emerging trends around digital products would be an added advantage
  • Good analytical and problem skills
  • Good communication and presentation skills

Apply Now

We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
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