Location
kuala lumpur, kuala lumpur, Malaysia
Posted
June 13, 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
- Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and elevate potential incidences of potential improper employee/client conduct indicative of risk sub types covered by Compliance Surveillance, including market misconduct, sales practices, product suitability, disclosure of Material Non-Public Information (MNPI), and other irregular behaviour that may lead to regulatory / compliance issues.
- Escalate potential issues according to the Compliance Surveillance AAA model.
- Perform ad hoc investigations or deep dives into cases where warranted or requested by management.
- Maintain good working relationships with CFCR Advisory, Front and Back Office Operations.
- Proactively support and challen...