Market Surveillance & Regulatory Compliance

Job Description

The candidate will support the Legal, Regulatory and Compliance Department (“LCD”) and reports to the Chief Regulatory Officer.

Key Duties and Responsibilities

1) Market Surveillance

• Identify potential market misconduct and other behaviour that impact APEX’s operation of a fair, orderly and transparent market
• Review and implement frameworks, policies and procedures to enhance APEX’s trade surveillance and investigations of market misconduct
• Perform regular/daily tasks to monitor market activity, including, but not limited to:
  (i) Analysis of trading alerts triggered for unusual transactions and orders
  (ii) Escalation of suspicious trading behaviour for investigations and/or to the regulators
  (iii) Review and update of alert parameters and logic

• Liaise with regulators and other law enforcement agencies on relevant matters when necessary

2) Regulatory Compliance

• Develop and strengthen the compliance culture in APEX and related entities
• Review and implement policies and procedures to monitor and enhance APEX’s internal controls
• Ensure APEX’s compliance with regulatory obligations under the Securities and Futures Act, and related regulations, including, but not limited to, submission of regulatory returns, assessment of potential
  non-compliance and breaches, and supporting departments in their compliance needs.
• Maintain effective communications and relationships with APEX’s regulators, such as the Monetary Authority of Singapore
  

3) Corporate Governance

• Review and implement processes and procedures to strengthen APEX’s internal governance
• Assist the Corporate Secretary in matters related to corporate governance and the Board of directors
• Maintain effective communications and relationships with APEX’s shareholders and the Board of directors

4) Support other related functions undertaken by LCD, including review of whistleblowing complaints
and disciplinary breaches.

Requirements:

• University degree from reputable institutions.
• At least 3 years’ relevant working experience in derivatives trading compliance or derivatives trading surveillance. Investigation/law enforcement background is a plus.
• Team player with good writing, communication and interpersonal skills, including excellent Chinese proficiency.
• IT literacy and ability to work with large datasets are preferred.