Assistant Vice President, Trade and Communications Surveillance, Group Compliance
Group Compliance is committed to implementing compliance best practices across the DBS Group to protect our reputation as well as our capital. It provides leadership, oversight and guidance for the establishment of a strong compliance culture and framework.
Responsibilities:
- Implementation of Trade and Communications Surveillance Programme in Singapore and the region
- Performing monitoring of trading activities for the Treasury Markets business to ensure Compliance with MAS and other regulations in relation to Market Conduct and Benchmark Rate Setting
- Performing electronic communications surveillance, including voice/tapes, emails, ichats channels review
- Investigating and closing out monitoring alerts thoroughly in a timely manner, and ensuring that significant issues identified are fully investigated and promptly escalated where necessary
- Preparing reports to senior management regarding the status of alert investigation and escalation
- Developing and maintaining relationships with Front Office, Middle Office and other relevant stakeholders
- Ensuring that monitoring procedures and parameters are updated to facilitate change in business and market conditions
- Liaising and working closely with Technology team and external vendors to enhance existing processes and develop new and automated systems and/or monitoring tools
- Participating in implementation activities, including user acceptance testing and business integration
- Assist in coordinating inspections and identifying clarifications and potential regulatory issues to be raised with the regulators
Requirements:
- Degree or professional qualification in accountancy, finance or related field
- 3-5 years experience in audit/compliance related work
- Trade and/or Communication Surveillance experience preferred
- Treasury product knowledge required
- Working knowledge of relevant rules and regulations, particularly in relation to market conduct/market abuse
- Excellent analytical and problem solving skills
- Good communication and presentation skills
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