Job summary

My clients is a first tier corporate and institutional bank. They are looking for an experience professional with experience in control framework / conduct surveillance. You will be part of a collaborative team that would be the first line of defense playing a key role in strengthening front office activities.

Role Responsibilities:

  • Monitoring of front office activities, ensuring all activities are in accordance to regulations, procedures and policies...

My clients is a first tier corporate and institutional bank. They are looking for an experience professional with experience in control framework / conduct surveillance. You will be part of a collaborative team that would be the first line of defense playing a key role in strengthening front office activities.

Role Responsibilities:

  • Monitoring of front office activities, ensuring all activities are in accordance to regulations, procedures and policies.
  • Escalation of potential breaches according to severity to the relevant management level.
  • Raise Front office awareness on Conduct risks, permanent Control and policies through dedicated business oriented training sessions
  • Close coordination with Compliance for the performance of Calibration (BLT) and Quality Assurance (QA) reviews and Permanent Challenge (PC).
  • Design, test and deploy new controls to address emerging risks; Work in close collaboration with IT to design, test and deploy new surveillance tools.

Applicants with front office experience with Fixed income product knowledge would be a plus

Skills and Experience:

  • Good understanding of financial markets products
  • Prior experience in Financial markets Front Office (Sales/Trading/ Investment Banking), Middle Office, or related Control, Audit, Compliance background relating to Global Markets trading activities or Investment Banking activities
  • Good understanding of Conduct risk and market misconduct concepts
  • Basic skills in coding (Python) would be a plus

Interested candidates may send your CV d.yap@gravitasgroup.com for further role details and market information.

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