Our client is a prestigious investment bank with a strong global presense. They are currently seeking for a compliance surveillance professional for their wealth management division. The position will be responsible for overseeing trade and communications surveillance ensuring adherence to regulatory requirements and mitigating risks associated with trading activities.
Key Responsibilities
- Conduct comprehensive surveillance of trading activities and communications of the WM business
- Identify, analyze, and report suspicious activities to ensure compliance with industry regulations.
- Collaborate with various teams to develop and implement effective surveillance strategies.
- Stay updated on regulatory changes and best practices in surveillance and compliance.
- Provide training and guidance to staff on surveillance protocols and procedures.
Qualifications
- 10 years of experience in surveillance, compliance within the financial services industry.
- Excellent knowledge of WM business
- Strong knowledge of trade and communications surveillance methodologies.
- Proven ability to analyze complex data and identify potential risks.
- Excellent communication skills and ability to work collaboratively in a team environment.
Our client offers excellent remuneration for the right candidate. Interested parties please kindly reach out to Eunice Lee at 3907 0744/ e.lee@gravitasgroup.com for a confidential discussion.
