Associate AVP, Compliance – Trade Surveillance (SGD 6k-9k)

About the role

The client seeks an experienced compliance professional to support its capital markets business, focusing on trade surveillance, e‑communication monitoring, compliance reviews and Control Room activities.

Key responsibilities

• Review equities and derivatives trading activities for potential market abuse, manipulation or insider trading.
• Investigate trade and e‑communication alerts, document findings and escalate breaches as needed.
• Support ongoing compliance monitoring programmes 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.
• Assist regulatory reporting and information requests from MAS, SGX and other authorities.
• Participate in surveillance‑system improvement and enhancement projects.

Required profile

• Degree in Business, Finance, Accountancy, Economics or a related field.
• 6‑8 years of compliance experience within banking, securities or capital markets.
• 3‑4 years of hands‑on trade surveillance experience covering Singapore and overseas markets.
• Good knowledge of SFA, FAA, MAS requirements and SGX rules.
• Strong investigative, analytical and communication skills.
• Understanding of capital markets and investment‑banking activities.

Required skills

• Familiarity with surveillance tools such as NASDAQ SMARTS.
• Knowledge of regulatory frameworks (SFA, FAA, MAS, SGX).