Floor Surveillance Officer #100321

Credit Suisse Asia
20 Aug 2017
22 Aug 2017
Contract Type
We Offer
You a challenging role as an experienced Compliance Surveillance professional who will act as a final filter of escalations (Trade/E Comms/Voice), before passing on to the Front Office for response and supervisory sign-off. This will cover all divisional businesses in the APAC region. The Floor Surveillance Officer team will consist of a mixture of ex-traders/rm's and surveillance professionals. You should also maintain constructive engagement with the Front Office (FO), Coverage Compliance, Control Room, Anti-Fraud and Business Delivery Centre (BDC) and focus on BDC team supervision, QA and Training
  • You provide accurate filtering of Level Two alerts before passing on to the Front Office for response and Supervisory sign-off , ensuring timely sign off supervision
  • Daily engagement with FO and Compliance Coverage to ensure the strong knowledge of relevant FO business, risks and controls
  • You conduct review of percentage of all alerts reviewed by BDC analysts across Trade, Comms and Voice Surveillance and report findings to the Surveillance Regional Head, Central QA and Training Officer
  • You roll out formal training and mentoring program for the BDC analysts and ensuring it is interactive with the QA process and aligned with industry/firm-wide developments
  • You oversee the MI for senior FO consumption and ensure smooth management of the process
  • You provide a feedback loop to the Central Surveillance Team and to the regional surveillance specialists on alerts and scenarios performance
  • Regular meetings with fellow FSOs across regions to share lessons learned and best practices
  • You take part in all relevant supervisory meetings and be an integral part of the Surveillance Management Team
  • You own all the relevant supervisory meetings with the BDC and ensure the protocols and the proper evidence
  • You travel to the BDC on a regular basis and close engagement with Front Office
  • Mentoring of BDC staff and involvement in talent identification process
  • You engage with supervisors to fully understand the Supervisory Risk and Control Frameworks
  • You ensure surveillance escalations are incorporated into the FLOD framework
  • Be integrated with the Coverage Compliance teams but remain independent

You Offer
  • Graduate degree with 5-10 years Surveillance background and/or trading experience
  • Good knowledge of relevant regulatory and market conduct rules and other related regulations
  • Experience in managing teams with strong supervisory skills and good leadership skills
  • Strong communication and interpersonal skills
  • Training experience beneficial
  • Good analytical skills and eye for details
  • Be passionate about the role, ability to challenge and build positive relationship