The individual will have diverse responsibilities, including but not limited to :

- Responsible for control room trade surveillance for EMEA, AEJ and US

- Review of Watch list, Restricted list, trading ahead of market, trading ahead of research alerts and escalate potential breaches to regional control rooms

- Responsible to designate Chinese wall tagging for new joiners and transfers of all regions and work closely with the regional control rooms for tagging validation

- To monitor and approve the Personal Account Dealing and Gifts & Entertainment.

- Close communication with regional stakeholders and organizing scheduled weekly/monthly calls with structured agenda and minutes

- Providing support to other members of the team

- Identification, mitigation, escalation and reporting of potential/current risk

- Ensure appropriate disclosures are updated in the research reports, Update manuals, policies and procedures relating to the Control Room functions

- To monitor the firm's trading positions, analysing and preparing relevant disclosures for significant shareholding / Takeover deal for AEJ/EMEA region

- Good understanding of Security Market and Investment Banking products

- 5-6 years of Compliance experience in financial services industry

- Strong analytical and project management skills

- Ability to challenge existing processes with a view to improvements and good knowledge in MS office (Excel, word and PPT)

- Ability to handle confidential information and matters with discretion

- Detailed oriented, with strong follow-up

- Ability to work independently and interact with all levels of stakeholders in regional control rooms

- Ability to work with technology team for any development projects, BRD preparations and conducting UAT's

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