This position is no longer open for applications

About the Compliance and Surveillance Officer Role:
In this role, you will be in charge of monitoring and report compliance of trading participants and listed issuers with the rules supplemented by the SRC and its IRR.

Key Responsibilities

a. To monitor and report compliance:

• Monitoring compliance of trading participants with the rules supplemented by SRC and the IRR
• Monitoring compliance of issuers to the disclosure obligations under the rules
• Monitoring of reports/news/material information about the listed Issuers in and preparing of summary report for determining the need to request for clarification
• Monitoring, detecting, and analysing market behaviour to determine whether there is aberrant or unusual trading activities
• Publishing of disclosures filed by the issuers in the website
• Preparing reports with regard to compliance
• Creating and maintaining databases and reports
• Conducting of briefings and preparing of presentation materials for new issuers

b. To provide assistance in the following:

• Providing the necessary data and information for the investigation process
• Interpreting and analysing the data for the investigation process
• Identifying, developing and implementing surveillance policies, procedures, guidelines and training materials to assure compliance with applicable regulations and to maximise efficiency
• Liaising with the Associated Persons, Corporate Information Officers (CIOs), Deputy CIOs and the different departments and the regulatory agencies for the coordination of the monitoring, enforcement, and investigation
• Performing other assignments as may be required

To succeed in this Compliance and Surveillance Officer role, you must have in-depth knowledge of laws, rules and regulations pertaining to Exchanges, Securities Laws and other related regulations.

Key Requirements

• Bachelor’s degree in law, finance, business management, or a related field
• Working knowledge of the operations of an entity dealing in fixed income securities
• Experience in trading (buying or selling) of fixed income instruments is an advantage
• CFA and/or BAP Certified Money Market Professional is an advantage
• Excellent command of the English language, verbal and written
• Expert in MS Office especially Excel and PowerPoint
• Must have the ability to work efficiently in a high-pressure environment
• Must possess an analytical mind and can exercise mature judgement
• Must have the skills to maintain good client relations, internal and external including co-employees, regulators, investors and market and bourse participants
• Ability to handle a variety of changing situations

This company is much more than financial services and is anything but traditional. They have the people and ethos to act with speed, innovation, enterprise, and creativity. The scope of the offer, the size of the business, and the freedom and autonomy to drive your career forward all add up to a great place to work.

If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this exciting Compliance and Surveillance Officer job.

Apply today to take a chance on this exciting role.