Job Description

Your new company
My client, one of the market leaders in the banking sector, is currently looking for a VP/Director, Front Office Conduct Surveillance (FOCS) to work in their flagship Singapore office.

Your new role
Reporting to Head of Front Office Conduct Surveillance (APAC), you will be responsible on:

• Daily monitoring of Front Office activity to ensure that all relevant rules, regulations, group policies and procedures are adequately followed. The scope of FOCS monitoring encompasses E-communications, Voice calls and Trades
• Investigation of alerts, clearing of false positives and timely processing of true positives for further analysis
• Escalation of potential breaches according to severity to the relevant management level and/or to Compliance (acting as 2nd Line of Defence (2LOD)
• Close coordination with Compliance for the performance of Calibration (BLT) and Quality Assurance (QA) reviews and Permanent Challenge (PC)
• Design, test and deploy new controls to address emerging risks; Work in close collaboration with IT to design, test and deploy new surveillance tools and benefit from the addition of new technologies to improve the efficiency of the control framework
• Precise and accurate documentation of the investigation results and record in the case management tool for audit purposes; close coordination with internal or external audit teams in the context of reviews of the activity
• Front Office Trainings: raise Front office awareness on Conduct risks, permanent Control and policies through dedicated business oriented training sessions

What you\'ll need to succeed

• Good understanding of financial markets products
• Prior experience in CIB activities and Financial markets (Rates, FX and/or Credit): 5-7 years of experience in the Front Office (Sales/Trading/ Investment Banking), Middle Office, or related Control, Audit, Compliance background relating to Global Markets trading activities or Investment Banking activities
• Good understanding of Conduct risk and market misconduct concepts; prior experience in the utilization or design of surveillance tools, trading systems would be a plus
• Basic skills in coding (Python) and/or data analytics would be a plus

What you need to do now
If you or someone you may know may be interested in this opportunity please do contact me on the details below for more information or drop over an updated CV to my email at ErHann.Ooi@Hays.com.sg.

Alternatively, if this job opportunity is not relevant to you, feel free to share across your updated CV to have a confidential discussion on the relevant openings based on your skillsets and expertise.

EA Reg Number: R22104725
EA License Number: 07C3924
Company Registration No: 200609504D #1242101