The role is responsible for performing second-line investment compliance oversight, including daily post-trade monitoring, rule-coding accuracy checks, breach escalation, and market-abuse surveillance
Job Summary
The role is responsible for performing second-line investment compliance oversight, including daily post-trade monitoring, rule-coding accuracy checks, breach escalation, and market-abuse surveillance.
Administer the Personal Dealing Standard/policy which includes but not restricted to - Review of broker account statements and monthly personal trading transactions.
Provide task guidance, technical coaching, and knowledge support to junior team members, including reviewing analysts’ work for accuracy and adherence to standards.
Matching Summary
The role is responsible for performing second-line investment compliance oversight, including daily post-trade monitoring, rule-coding accuracy checks, breach escalation, and market-abuse surveillance.
Skills & Requirements
Must-have
Post-trade compliance monitoring
Personal Dealing compliance
E-communication surveillance
Market abuse surveillance
Bloomberg and Aladdin
Nice-to-have
Subject Matter Expertise
Stakeholder management
Tech-savvy
Consultative approach
Key Requirements
Minimum 8 years of experience
Degree in Accounting, Finance, Economics, or Business Management
Strong understanding of financial instruments, including derivatives
Broad regulatory knowledge (MAS, UCITS, HK SFC, FATCA)
Experience in Quality Assurance and compliance monitoring/control testing