Location
kuala lumpur
Job Type
Full-time
Posted
June 01, 2026
Job Description
Job Summary
Specialist in the Surveillance team is primarily responsible for identifying potential trading anomalies and other inappropriate activity as set out below.
Key Responsibilities
Processes:
- Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and escalate potential incidences of potential improper employee/client conduct indicative of risk sub types covered by Compliance Surveillance, where applicable including market misconduct, sales practices and product suitability or disclosure of Material Non-Public Information (MNPI), as well as other irregular behaviour that may lead to regulatory / compliance issues.
- Escalate potential issues according to Compliance Surveillance AAA model.
- Perform ad hoc investigations or deep dive into cases where warranted or requested by management.
- Maintain good working relationships with CFCR Advisory, as well as Front and Back Offic...