An experienced Markets Surveillance professional to join the Asian Compliance Office Central Compliance Department. The candidate will report to the Regional Head of Assurance. The individual will be tasked with setting up and running a centralised Markets Surveillance team and being the Markets Surveillance assurance SME for the region.
- Build and run a centralised Regional Markets Surveillance team who will carry out Markets Surveillance on behalf of APAC branches.
- Manage the conduct of surveillance activities utilising trade surveillance tools- the purpose and focus of which is to detect for inappropriate conduct, breach of regulatory obligations and MUFG policies. The scope of risks covered by the programme aligns to the Compliance risk model and programme as adapted from time to time.
- Manage the roll out and centralisation of NASDAQ Smarts Markets Surveillance Program for Asia
- Act as the regional Markets Surveillance assurance SME and provide support, guidance, training and challenge when needed to the team and regional colleagues to ensure that all markets surveillance in the region is carried out to the desired standard.
- Apply knowledge and expertise of Market Surveillance/Monitoring programs, industry practices within the broader Assurance group.
- In collaboration with ACO-ADV RHQ Advisory and ROD, and unit compliance - identify and advise on opportunities for a consistent approach to market surveillance and regulatory compliance risk reporting including for regional and global management information such as ‘Compliance Risk Assessment’.
- Provide SME inputs / feedback/ response to ACO-CSC Testing, Surveillance and Thematic Review team on clarifications and issues raised
- Create regular MI for stakeholders, including but not limited to, the Regional Head of Assurance, Regional Head of Central Compliance, local Compliance Officers, Regional Compliance Group Heads and the Regional Chief Compliance Officer.
- Oversight of, collection of and contributing to local Annual Compliance Markets Surveillance Plans from local units.
- Continually improve the Markets Surveillance processes, with a focus on service levels, productivity, efficiency and customer service
- Collaborate closely with global counterparts to share knowledge and ensure that a consistent approach is taken.
- Deliver risk-based assurance to the firm’s senior management and the Group through independent challenge and quality reporting.
- At least 7 – 10 years of relevant financial services experience. Ideally the candidate will come from a commercial banking background however other similar areas of financial services will also be considered.
- In-depth knowledge of Markets related products including FX and Rates.
- Working knowledge of trade surveillance systems is essential (NASDAQ Smarts is preferable).
- Experience of conducting markets surveillance analysis and drafting quality reports is essential.
- Team Lead experience is desirable but not essential as long as the candidate has a strong background in regulatory compliance markets surveillance and has project leadership.
- Exposure to compliance and regulatory risk environments.
- Good verbal, written communication and presentation skills, with a proven ability to clearly articulate business and regulatory implications of analysis and findings.
- Good interpersonal skills and dealing with executives at all levels.
- Meticulous, analytical and independent self-starter with proven ability to work collaboratively within teams and to deliver on time.
- Some travel is expected in normal circumstances.