Position Overview
Responsibilities
Review and monitor routine and exception trade surveillance reports, ensuring timely follow-up with appropriate stakeholders and escalate issues to Sales Management when required, ensuring compliance with relevant rules, laws, regulations and internal policies Prepare management reports within agreed timelines and with accurate details Assist in handling compliance and audit inquires by coordinating Sales Management responses, gathering required information and addressing compliance and internal audit requests Ensure proper documentation of monitoring activities, follow-up actions and escalations, maintaining auditable records and well-organized case files Perform ad hoc duties as assigned by supervisors and Sales Management Requirements Bachelor’s degree or above Minimum 1-2 years of relevant working experience in finance or local brokerage firm Strong market awareness with the ability to respond proac...