About this role
- Detect and monitor all business approved communication channels and trading activities of employees undertaking treasury activities in Treasury & Markets Department and ensure is in compliance with regulatory requirements and expectations.
- Identify and recalibrate surveillance monitoring indicators to ensure it is effective and functional.
- Undertake behavioural and pattern analysis and assessment on surveillance concerns/issues identified from surveillance of trade and communication activities and work closely with the business/support units to address and manage the concerns/issues.
- Attend to surveillance concerns/issues escalated by relevant regulators and take necessary/appropriate actions in relation thereto and provide appropriate response to the regulators.
- Provide feedbacks on surveillance positioning taking into consideration observations made during surveillance activities.
- Assist in the implementation and testing of new surveillance system and programmes to enable effective functioning of surveillance activities.
- Prepare relevant reports for stakeholders (e.g. management, governing committees, board of directors and/or regulators) to enable an informed decision making process.
- Provide necessary information sharing/training to employees undertaking treasury activities to enhance compliance awareness and education efforts on trading misconduct and the associated requirements.
- On-going maintenance of a repository on surveillance concerns/issues and matters highlighted internally and/or by relevant regulators in the course of monitoring and surveillance works.
- Ensure documentation on surveillance and monitoring works are properly documented, filed and kept.
- Other duties as directed by the Head of Department and/or direct supervisor.