Market Surveillance, Compliance Officer

Posted by Serene Tan, Associate Director, Head of Compliance and Governance APAC

Key Responsibilities

• Monitor Market Misconduct – Identify and investigate activities that could impact fair and transparent market operations.
• Enhance Surveillance Frameworks – Review and improve trade surveillance policies, procedures, and investigations.
• Analyse Trading Alerts – Monitor unusual transactions, escalate suspicious activities, and refine alert parameters.
• Regulatory Coordination – Liaise with regulators and law enforcement on market misconduct matters.
• Ensure Regulatory Adherence – Oversee compliance with the Securities and Futures Act, including regulatory filings and breach assessments.
• Strengthen Compliance Culture – Implement policies and internal controls to foster a strong compliance framework.
• Regulatory Relationship Management – Maintain effective communication with regulators, including the Monetary Authority of Singapore (MAS).
• Governance & Legal Support – Assist with corporate governance, board activities, whistleblowing reviews, and disciplinary matters.

Requirements:

• A degree from a reputable institution.
• At least 4 years of relevant experience in derivatives trading compliance or surveillance; a background in law enforcement or investigations is an advantage.
• A team player with strong written, verbal communication, and interpersonal skills, with proficiency in Chinese.
• Motivated individual who is able to work well in a fast-paced environment.
• IT literacy and experience working with large datasets are preferred.