Assistant Vice President, Compliance

Maybank Securities is a leading brokerage house and investment bank in ASEAN. Maybank Securities provides services in corporate finance, debt markets, equity capital markets, derivatives, retail and institutional securities broking and research.

This is a Generalist Compliance role but with a focus on Trade Surveillance and e-Communication Surveillance. Areas of coverage include the below:

Key Responsibilities

Trade Surveillance & e-Communication Surveillance

• Execute trade surveillance program to monitor trading activities for equities/derivatives in Singapore and foreign markets for signs of market abuse, manipulation, insider trading, and other misconduct.
• Conduct daily reviews of trade surveillance alerts generated by surveillance systems, investigate anomalies, document findings, and escalate potential breaches.
• Conduct daily review of alerts generated by e-communication surveillance tools to monitor employee electronic communications for compliance with internal policies and regulatory requirements.
• Review alert parameters/threshold in surveillance to ensure appropriateness and propose any required changes
• Participate in projects on implementation of surveillance systems.

2. Compliance Monitoring & Review

• Maintain and execute the ongoing Compliance Monitoring Programme specific to the capital markets businesses of the Company.
• Conduct Compliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements.

3. Control Room Operations

• Maintain and update Restricted List, Watch List, Permanent Insider List, and Wall-Crossing List etc.
• Perform conflict of interest checks for investment banking deals.
• Monitor potential conflicts of interest, deal clearances, and ensure appropriate information barriers are maintained between public and private side teams.
• Provide guidance and support to front-office and support functions on Control Room protocols, MNPI handling, and internal escalation procedures.
• Provide clearance for staff personal trading, and conduct monitoring.

4. Core Compliance

• Collate and prepare information/documents for regulatory requests.
• Assist with regulatory reporting.
• Liaise with relevant internal stakeholders to complete surveys/forms/questionnaires requested by MAS/SGX.
• Ensure all compliance correspondences/records and registers are duly tracked and maintained.
• Conduct compliance induction training to new staff and other basic training as may be required by the Head of Compliance.
• Track and follow up with staff on completion of Compliance trainings and declarations.
• Assist with the preparation of compliance reports/KRIs to local management and MIBG.
• Assist with all other ad-hoc tasks as required by the Head of Compliance.

Requisite

• At least 3 years of experience in performing trade surveillance in Singapore and foreign markets across various asset classes, and familiarity with trade surveillance systems, including, NASDAQ SMARTS, with demonstrated track record.

Other Requirements

• Bachelor's degree in business, finance, accountancy, economics or higher.
• At least 8 - 12 years of Compliance experience in capital markets firms or banks.
• Working knowledge of SFA, FAA, other relevant MAS regulations and guidelines and SGX rules.
• Strong analytical, investigative, and communication skills.
• Good understanding of capital markets, investment banking and business needs and industry best practices.
• Candidates with trade surveillance/ securities enforcement experience with the regulator/Exchange/enforcement agency are also welcomed to apply.

We regret that only shortlisted candidates will be notified.