Trade Surveillance Expert, Asia Pacific

Job Description

Reference 26000CEP Responsibilities • Handling alert management (Level 1 control execution, analysis, escalation, reporting if required) of alerts corresponding to his/her assignment. • Contributing to the implementation of a robust trade surveillance and control framework across APAC, aligned with EMEA and AMER, to detect market abuse / misconduct risks and escalate incidents and possible breaches to relevant stakeholders. • Providing guidance & expertise to both onshore and offshore teams in executing surveillance and investigation activities, maintaining team production efficiency through regular catchups to ensure consistency in surveillance procedures and adherence to SG Code. • Handling escalations from more junior staff members who are performing trade surveillance alert reviews, conducting investigations and escalating cases to stakeholders, including local compliance and LOD1 controls / MARK. • Coordinating with internal stakeholders to ensure timely escalation and effective resolution of surveillance findings, monitoring status and taking appropriate actions to resolve delays. • Contributing to the prioritization, development and implementation of new /updated scenarios of trade surveillance together with RACR team (Trade Surveillance Risk And Control Review). • Performing the quality assurance for trade surveillance alerts, ensuring all processes meet established standards. • Providing training to all team members, including conducting workshops / Q&A sessions / Daily Pulse meetings. • Overseeing training and development to junior staff to enhance their TS knowledge and skills while monitoring their performance.Reviewing existing operational procedures, guidelines and parameters of TS systems to ensure that the risk appetites and compliance practices are aligned across APAC / Global CMS. • Identifying and resolving trade surveillance issues arising from regulatory activities undertaken within the region, actively working with relevant BU/SUs as required to ensure compliance of regulatory expectations. • Ensuring timely and accurate responses to regulatory requests and enquiries (e.g. s181 Notice, IGAD, CTL), with audit / CTL recommendations duly followed up and implemented. • Ensuring important information is communicated to stakeholders via regular meetings (e.g., quarterly Regional CMS Steerco). • Contribute to the review and analysis of new or amended industry rules, market rules and regulations, when relevant to the department. • Contribute to the analysis of new business initiatives and assess their potential impact on the surveillance program. • Implementing projects to support local and global objectives (e.g. ASTRIC, FundApps, Target Operating Model reviews). • Liaison with global / regional stakeholders for assessing constraints and risks of global/APAC project deployments (e.g. formation of Bernstein JV). • Contributing to projects and lead where necessary (e.g., backlog management, operational incident management including data and remediation). • Contributing to TS governance (e.g., participate in TS management meeting, contribute to RACR proposal, contribute to escalations from COM SUR, when necessary, review of TS procedures. • Organize the tasks and production related to substantial shareholding disclosure. Show More