AVP/VP Compliance

Maybank Securities is a leading brokerage house and investment bank in ASEAN. Maybank Securities provides services in corporate finance, debt markets, equity capital markets, derivatives, retail and institutional securities broking and research. This is a Compliance role with a primary focus on Trade Surveillance and e-Communication Surveillance, supporting the Company’s capital markets businesses across equities and derivatives in Singapore and foreign markets. The role also covers Compliance responsibilities for various products including Equities, Derivatives, Fixed Income, Currencies, Commodities, Structured Products, and other financial instruments. Key responsibilities include: • Conduct Trade Surveillance to identify potential trading irregularities and monitor market activities; • Develop and maintain surveillance programs to detect and prevent market manipulation, insider trading, and other forms of misconduct; • Analyze and investigate suspicious transactions and conduct root cause analysis; • Collaborate with the Compliance team to develop and implement policies and procedures for trade surveillance and e-communication surveillance; • Provide training and guidance to traders and sales staff on compliance requirements and best practices; • Stay up-to-date with regulatory changes, industry trends, and market developments to ensure compliance with relevant laws and regulations. The ideal candidate will have a strong understanding of financial markets, products, and regulations. A Bachelor’s degree in Finance, Law, or a related field is required. Professional certifications such as CFA, CAIA, or FRM are desirable. The successful candidate will be able to demonstrate excellent analytical, communication, and problem-solving skills. In return for your expertise, we offer a competitive salary package, comprehensive benefits, and opportunities for professional growth and development.