Associate AVP, Compliance | Trade Surveillance | UP to $9,000

Our client is looking for an experienced compliance professional to support its capital markets business, with a strong focus on trade surveillance, e-communication monitoring, compliance reviews and Control Room activities. Responsibilities: • Review trading activities across equities and derivatives for possible market abuse, manipulation or insider trading. • Investigate trade and e-communication alerts, document findings and escalate potential breaches where required. • Support the ongoing compliance monitoring programme and conduct thematic or desk reviews. • Maintain Control Room records, including restricted/watch lists and insider-related registers. • Perform conflict checks and support information-barrier controls for investment banking transactions. • Review staff personal trading requests and related monitoring. • Support regulatory reporting, submissions and information requests from MAS, SGX and other authorities. • Maintain compliance records and assist with compliance reporting, training and staff declarations. • Participate in surveillance-system improvement and enhancement projects. Requirements: • Degree in Business, Finance, Accountancy, Economics or a related field. • Minimum 6 to 8 years of compliance experience within banking, securities or capital markets. • Minimum 3 to 4 years of hands-on trade surveillance experience, including Singapore and overseas markets. • Familiarity with surveillance tools such as NASDAQ SMARTS would be highly relevant. • Good knowledge of the SFA, FAA, MAS requirements and SGX rules. • Strong investigative, analytical and communication skills. • Good understanding of capital markets and investment banking activities. • Candidates from regulators, exchanges or market supervision/enforcement functions may also be considered. By sending your job resume to us, it shall be deemed that you have agreed and hereby give your consent to Merries Employment LLP in collecting, using and/ or disclosing your personal data for the purpose of accessing and processing your job application and/ or for future job opportunities within Merries and/ or with the client(s) of Merries. If you wish to withdraw your consent, please notify us. We regret to inform only shortlisted candidates will be notified. Merries Employment LLP EA Licence No: 14C7362 Posting Personnel: Jasmine Chew EA Personnel Registration No: R1769441