Trade Surveillance Officer (Bank I Global Markets I Compliance)

Career Opportunity

• Join a premier financial services organization and leading banking institution
• Gain valuable insight into the banking products and services sector
• Location: Central

Position Overview

The successful candidate will be responsible for executing trade surveillance activities across Global Financial Markets (GFM), utilizing automated systems and internal reports to detect potential market abuse or misconduct. The role requires ensuring compliance with relevant regulatory standards and internal policies, with a preference for experience in OTC products.

Key responsibilities include:

• Conduct trade surveillance monitoring using automated tools and internal reports to identify possible market violations and ensure regulatory and internal compliance, particularly in OTC trading
• Review communications alerts within the ECRUISE system, perform voice and sampling reviews, and evaluate emails and tape recordings to identify suspicious activities
• Ensure prompt and accurate review of all alerts generated by surveillance systems and internal reports
• Manage Control Room functions such as maintaining watch lists, overseeing wall-crossing and information barrier procedures, providing pre-trade and transactional guidance regarding conflicts and MNPI, and escalating potential breaches swiftly
• Assess and handle surveillance exceptions, preparing detailed reports for management review
• Investigate, document, and resolve surveillance alerts within designated timelines, escalating significant issues such as UAE/STR reports when necessary
• Maintain and update surveillance procedures and parameters to align with evolving business activities and market dynamics
• Collaborate closely with Middle Office Technology teams and external vendors to enhance existing processes and develop new automated monitoring tools
• Participate in system and process deployment, including user acceptance testing (UAT) and business integration efforts
• Design and implement AI-driven tools (e.g., workflow assistants, alert triage systems, investigation copilots) to improve operational efficiency, streamline surveillance workflows, and strengthen controls governance

Candidate Profile

• Bachelor’s degree in Accountancy, Finance, or a related field
• 4-6 years of relevant experience in trade or communications surveillance, compliance monitoring, control room operations, or related risk functions within a financial institution
• Comprehensive understanding of market conduct, market abuse risks, and the importance of surveillance controls in financial markets
• Experience or interest in automated surveillance systems, alert review processes, or communications monitoring (training provided if needed)
• Strong analytical capabilities, meticulous attention to detail, and adeptness at managing multiple tasks under tight deadlines
• Excellent teamwork skills, with the ability to collaborate across compliance, business, and technology teams
• Effective communication skills, both written and verbal, with the ability to document findings clearly and present insights confidently
• Interest in process optimization, automation, or emerging technologies such as data analytics or AI is advantageous
• Knowledge or practical experience utilizing data analytics, automation, or AI tools to enhance surveillance operations is a plus

Application Process

• Please submit your resume to [HIDDEN TEXT]
• Subject Line: Trade Surveillance Officer (Compliance)

Wu Yue Shan

EA License No: 91C2918

Personnel Registration Number: R25138923