Trade Surveillance & Compliance Exe, Bank (12 Month Contract. Central) UID: 2269

Key Responsibilities:

• Conduct trade surveillance for Global Financial Markets (GFM) to identify potential market abuse or misconduct, preferably involving OTC products.

• Review communications surveillance alerts via ECRUISE, including voice recordings, emails and other communications.

• Investigate, document and close surveillance alerts within stipulated timelines, escalating significant issues where necessary.

• Manage Control Room activities, including restricted/watch lists, wall-crossing procedures, information barriers and conflicts of interest involving Material Non-Public Information (MNPI).

• Review surveillance exceptions and prepare management reports.

• Maintain and update surveillance procedures and monitoring parameters.

• Work with Technology teams and external vendors to improve surveillance systems, processes and monitoring tools.

• Participate in system implementation, UAT and business integration.

• Develop and implement agentic AI tools to automate workflows, support alert triage and investigations, and improve operational efficiency and controls governance.

Requirements:

• Bachelor’s degree in Accountancy, Finance or a related discipline.

• 4–6 years of relevant experience in trade surveillance, communications surveillance, compliance monitoring, Control Room operations or related risk functions within a financial institution.

• Good understanding of market conduct, market abuse risks and financial markets surveillance.

• Exposure to automated surveillance systems or communications monitoring is preferred. On-the-job training will be provided.

• Strong analytical skills, attention to detail and ability to manage multiple priorities under tight timelines.

• Good communication and documentation skills, with the ability to work across Compliance, business and Technology teams.

• Interest or experience in process improvement, automation, data analytics or AI is an advantage.

EA License No. 01C4394 • RCB No. 200007268E •EA Registration • Lim Jia Jie EA Registration No. R22108969

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