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Job Info
Position : Assistant Vice President, Market Surveillance (ST)
Business / Support Unit : Regulation
Function : Surveillance (ST)
Reference No. : 2018/2210
Job Description

Key Accountabilities

Reporting to the Team Leader (TL) and Unit Head, the incumbent is expected to:

  • Monitoring compliance with SFA and SGX trading rules by members and market participants and assessing adequacy of members’ compliance frameworks
  • Provide input on business, technology and regulatory (including SRO) issues affecting securities trading, and market integrity as a whole
  • Identify and assist TL to lead initiatives to enhance the securities surveillance framework to support product development and growth, and ensure long-term market orderliness and integrity
  • Assist TL to ensure that appropriate systems and procedures are in place to ensure effective and efficient execution of securities surveillance
  • Assist TL to lead the team to build effective relationships with internal and external stakeholders, from business units to brokers, traders and regulators


Position Deliverables

  • Build up the quality of activities, relationships with stakeholders and staff capabilities
Job Requirements
  • Bachelor degree in Business/Accountancy/Business Administration/ Information Systems with a minimum of 5 years of progressive development and experience in applicable business roles
  • Executive level experience working within the Financial industry, especially in securities dealing/brokering, is highly desired
  • Team player with ability to independently lead projects on demand
  • Strong problem-solving experience, analytical, project management, and communication skills a must
  • Strong working knowledge of organizational structure, business and business systems/processes.
  • Strong knowledge of securities market conduct rules and regulations and industry’s best practices
  • Excellent written and verbal communication skills


Essential Attributes

  • Demonstrated ability to act with independence of thought, high energy and urgency
  • Results oriented and decisive