Manager/AVP, OCBC Securities - OSPL Compliance Assurance Manager/AVP, OCBC Securities - OSPL Compliance  …

OCBC Bank
in Singapore, Singapore, Singapore
Permanent, Full time
Be the first to apply
Competitive
OCBC Bank
in Singapore, Singapore, Singapore
Permanent, Full time
Be the first to apply
Competitive
OCBC Bank
Manager/AVP, OCBC Securities - OSPL Compliance Assurance
Roles and Responsibilities:


  • Performance trade surveillance on market abuse and trade irregularities
  • Monitor staff trading using various exception-based reports
  • Conduct investigations and reviews on irregular trading activities
  • Liaise with internal parties and regulatory bodies on matters concerning markets and trading activities
  • Business partner to various Business Units in assisting to establish or enhance compliance controls over business processes, and to recommend good practices
  • Ad hoc tasks as required

R eporting to: VP, Compliance Assurance





        Qualifications
        Requirements:
        • Degree in Accountancy, Finance, Business or other relevant qualifications
        • 4-7 years of relevant experience in Compliance or Control functions, competent and at least 2 years hands-on experience in trade surveillance and monitoring.
        • Demonstrated strong control mindset, working knowledge of SGX Rules, SFA and other relevant regulations
        • Driven, with good interpersonal, communication and analytical skills, and the ability to work independently and under tight deadlines

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