AVP Trade Surveillance - Brokerage and Securities Firm

We are seeking an experienced and highly analytical Assistant Vice President – Trade Surveillance to join our client, a leading securities firm.

The successful candidate will play a key role in strengthening the firm's market surveillance and regulatory risk framework. You will be responsible for monitoring trading activities across multiple asset classes, identifying potential market abuse and suspicious trading patterns, and ensuring that appropriate investigations and escalations are conducted in accordance with regulatory requirements and internal policies.

Key Responsibilities

• Conduct daily trade surveillance and monitoring across relevant financial products and trading activities.
• Review alerts and identify potential instances of market manipulation, insider trading, front-running, spoofing, layering, wash trades, unusual trading patterns and other forms of market abuse .
• Perform detailed investigations into surveillance alerts, documenting findings, rationale and supporting evidence.
• Escalate potential breaches and suspicious activities to senior Compliance management and relevant stakeholders.
• Support the preparation and submission of Suspicious Transaction and Order Reports (STORs) and other regulatory notifications, where applicable.
• Develop a strong understanding of the firm's trading activities, products, clients and business strategies to enhance surveillance effectiveness.
• Keep abreast of developments in market abuse regulations, exchange rules and regulatory expectations , and assess their impact on the firm's surveillance framework.
• Contribute to the implementation and enhancement of surveillance systems, data analytics and automation initiatives.
• Provide guidance and coaching to junior members of the surveillance team where required.

Requirements

• Bachelor's degree in Finance, Business, Economics, Accounting, Mathematics, Data Analytics, Computer Science or a related discipline.
• 5–8+ years of relevant experience in trade surveillance, market surveillance, compliance, risk, trading operations or a related function within a securities firm, investment bank, exchange or financial institution.
• Strong understanding of capital markets, trading activities and market abuse risks .
• Good knowledge of applicable MAS regulations, SGX rules and market conduct