Review and disposition alert triggers based on investigation outcomes in accordance with established surveillance procedures.
Oversee treasury-related activities to ensure compliance with regulatory requirements and adherence to ethical standards in trading and communication practices.
Conduct trade and communication surveillance activities to detect potential market misconduct or breaches of internal and regulatory requirements.
Identify and assess abnormal communications (e.g., text or voice) made by authorised dealers/traders via approved communication channels.
Detect unusual or suspicious trading activities executed by authorised dealers/traders across all trading platforms.
Perform necessary investigations and escalate findings to the Team Lead where potential misconduct or irregularities are identified.
Analyse behavioural and transactional patterns (trade and communication data) to enhance surveillance effectiveness and improve detection mechanisms.
Provide feedback and recommendations to strengthen surveillance controls and align with current market practices and risks.
Maintain a comprehensive repository of surveillance issues, findings, and follow-up actions for tracking and reporting purposes.
Develop or propose new surveillance scenarios and parameters to improve detection of potential trader misconduct.
Support the team in performing risk assessments, budget planning, and periodic review of surveillance-related policies and procedures.
Carry out any other duties or assignments as directed by the supervisor to support Treasury Surveillance operations.
Training & Awareness
Promote a culture of integrity, transparency, and accountability through consistent engagement and awareness initiatives within the Treasury function.
Attend relevant internal and external trainings, workshops, and seminars to maintain and enhance knowledge in trade surveillance, market conduct, and regulatory compliance areas.
Compliance Monitoring & Reporting
Identify and recalibrate monitoring indicators to ensure effective surveillance.
Support periodic compliance reporting to management and regulatory bodies.
Provide periodical reports and/or reports on an ad-hoc basis for management notification/approval.
Stakeholder Engagement
Provide relevant feedback on surveillance positioning by taking consideration of observations made during surveillance.
Liaise with key stakeholders, including trading system providers, to improve trade and communication surveillance practice.
