Assistant Vice President - Trade Surveillance - Financial Services Group

Company Overview:

This firm is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By - Connecting Markets East & West-, it services the needs of individuals, institutions, corporates and governments through its three business divisions - Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.

Divisional Overview:

- The Compliance team consists of a dedicated workforce whose primary purpose is to monitor that relevant policies and procedures are adhered to, thereby ensuring oversight and governance and also making sure that all the actions carried out at the firm conform with the rules and regulations prescribed by the relevant regulators.

The team supports various compliance activities for regions.

Role & Responsibilities:

1) Supervisory role for Employee Compliance team, which covers personal account dealing, training, licensing, and compliance MIS support

2) Supervise Trade Surveillance team - QC and oversight of trade monitoring alert review, and NFPS cancel and amends

3) Global Stakeholder Management.