Lead and oversee treasury related activities to ensure compliance with the regulatory requirements and ethical standard of the business activities.
Conduct trade and communication surveillance related activities to ensure compliance with the regulatory requirements and ethical standard of the business activities.
Review and disposition of alert triggers based on investigation results.
Detect abnormal communication (i.e. text and voice) made by authorised dealers/traders via approved communication channels.
Detect abnormal trade activities made by authorized dealers/traders in all channels.
Perform necessary investigation and escalation to the Team lead if there is any misconduct identified.
Analyse the behavior and pattern of the past records (i.e. trade/communication) to improve surveillance mechanism.
Provide relevant feedback on surveillance positioning by taking consideration of observations made during surveillance.
Identify and recalibrate monitoring indicators to ensure effective surveillance.
Provide periodical reports and/or reports on an ad-hoc basis for management notification/approval.
Maintain repository of surveillance issue and concern.
Develop new scenarios to detect trader's misconduct.
Liaise with key stakeholders, including trading system providers, to improve trade and communication surveillance practice.
