AVP, Markets Surveillance Compliance Officer, Group Legal & Compliance AVP, Markets Surveillance Compliance Officer,  …

DBS Bank Limited
in Singapore
Permanent, Full time
Last application, 14 May 21
Competitive
DBS Bank Limited
in Singapore
Permanent, Full time
Last application, 14 May 21
Competitive
AVP, Markets Surveillance Compliance Officer, Group Legal & Compliance
Business Function
Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.
Job Purpose
Support the surveillance efforts in relation to dealers' activities, covering the market making business, proprietary investments, benchmark rate-submitters' activities in T&M and cash equities business in Vickers. This encompass trade surveillance and review of communications (e.g. emails, Bloomberg and Reuters chats, internal chats and voice recording) and performance of risk-based desk and thematic reviews.
Key Accountabilities
  • Perform trade surveillance for the T&M and cash equities (Vickers) businesses.
  • Perform communication surveillance for the T&M business by reviewing alerts generated using an automated Communication Surveillance System. Perform manual surveillance (e.g. voice) based on sampling.
  • Work with internal and external technology partners to enhance the existing communication surveillance system and implement trade surveillance programme, including performing user acceptance testing (UAT).
  • Review and management of exceptions and provide report to management.
  • Regional co-ordination of overseas management reports to the senior management.
Responsibilities
  • Performing monitoring of trading activities for the T&M and the cash equities (Vickers) business to ensure compliance with MAS, SGX and other regulators' requirements in relation to Market Conduct and Benchmark Rate Setting. This includes:
    • implementation of trade surveillance systems which could be a combination of vendor, in-house developed system as well as manual reviews. The incumbent will also work closely with the Technology team and external vendors to enhance existing processes and develop new or to automate processes/systems and monitoring tools.
    • investigating and closing out monitoring alerts in a timely manner, and ensuring that significant issues identified are fully investigated and promptly escalated where necessary.
  • Perform communication surveillance for the T&M business by reviewing alerts generated using an automated Communication Surveillance System. Perform manual surveillance (e.g. voice) based on sampling.
  • Regional co-ordination of overseas management reports to the senior management.
  • Review and management of exceptions and provide report to management.
Requirements
  • At least 5 years of experience in audit/compliance related work will be considered. Staff with trading experience will also be considered.
  • Trade and/or Communication Surveillance experience strongly preferred.
  • Working knowledge of relevant rules and regulations, particularly in relation to market conduct/market abuse preferred.
  • Degree/Diploma or professional qualification in accountancy, finance or related field.
  • Good analytical and problem solving skills
  • Good communication and presentation skills
  • Good experience and understanding of compliance best practice, relevant MAS/SGX regulations & guidance.
  • Compliance best practices and understanding of relevant MAS/SGX regulations & guidance, capital market products and systems.
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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