Market Surveillance (Securities; Listed Financial Institution)

About the role

Sitting within a sizeable and well-resourced team, you will be responsible for monitoring trading activity across securities markets, reviewing system-generated alerts, and assessing whether member firms and market participants are operating within the bounds of applicable rules and regulations. Beyond alert management, you will contribute to the ongoing development of the surveillance framework, support initiatives that enhance monitoring effectiveness, and ensure that systems and procedures remain fit for purpose. You will also engage regularly with internal and external stakeholders - including business units, brokers, traders, and regulators - and assist senior team members in leading surveillance priorities and cross-functional projects.

Requirements

• Background in trading compliance, trading monitoring, or transaction monitoring within a securities context
• Strong knowledge of securities market conduct rules, regulations, and industry best practices
• Executive-level experience within financial services, particularly in securities dealing or brokering
• A degree in Business, Accountancy, Business Administration, or Information Systems, with a minimum of 2 years of relevant experience
• Analytical mindset with the ability to identify patterns, draw connections, and form well-reasoned conclusions
• Strong communication skills - able to engage stakeholders at varying levels with clarity and confidence
• The Person
• Interested candidates, please forward your updated CV to nicole@licoresources.com quoting reference A08432.
• We regret that only shortlisted candidates will be notified. Data provided is for recruitment purposes only.
• Job Reference No: A08432EA Licence No.: 13C6733EA Registration No.: R1333454

Additional Information

Lico Resources is partnering with a well-established, listed financial institution in Singapore with a broad and active presence across regulated securities markets. As the organisation continues to strengthen its market integrity and compliance infrastructure, it is seeking an experienced surveillance professional to join its monitoring and oversight function. This role will appeal to someone who is genuinely curious about market behaviour - how participants operate, where conduct risks emerge, and what patterns signal something worth investigating.

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