Assistant/ Vice President, RegCo - Market Surveillance and Supervision

Job Purpose

The role is responsible for ensuring the integrity, fairness, and orderly functioning of the market through robust admission requirements and ongoing supervision. The incumbent will contribute to the development and implementation of regulatory frameworks, conduct monitoring and investigations, and liaise with internal and external stakeholders.

Job Responsibilities

1. Exchange Member/ Depository Agent Admission & Onboarding

• Review applications for exchange membership and registration of depository agents, including corporate structure, financial soundness, governance, operational readiness, and compliance capabilities.
• Prepare recommendation papers and approval memoranda for internal committees.
• Coordinate admission conditions, post‑approval requirements, and onboarding activities with applicants and internal stakeholders.

2. Member Supervision & Ongoing Oversight

• Perform risk‑based supervision of exchange members and depository agents to assess compliance with exchange rules, regulatory requirements and market conduct standards.
• Manage members’ and depository agents’ financial and operational resiliency in the event of market volatility or other debilitating events.  
• Conduct on‑site inspections and off‑site reviews covering governance, compliance frameworks, liquidity and risk management, trading and settlement controls, and client handling practices.
• Identify supervisory concerns, issue recommendations, and follow up on remediation plans and corrective actions.
• Monitor changes in members’ and depository agents’ business activities, ownership, key appointments, and financial condition.
• Contribute to disciplinary or enforcement actions where breaches are identified, including drafting investigation findings and reports.

3. Policy Development & Regulatory Engagement

• Develop, review, and update exchange rules, supervisory frameworks, and surveillance procedures.
• Liaise with regulators, law enforcement agencies, and other exchanges on supervisory, enforcement, and market integrity matters.
• Stay abreast of regulatory developments, emerging risks, and international best practices in market surveillance and supervision.

4. Stakeholder Management & Advisory

• Provide regulatory guidance and clarification to members on exchange rules and supervisory expectations.
• Work closely with internal risk, operations, technology, business and legal teams to address market integrity and supervisory issues.
• Support training and outreach initiatives for members on compliance and market conduct topics.

Job Requirements

• Bachelor’s degree in Accounting, Banking, Business, Finance, Law or related fields will be considered.

• Minimum 2 years of experience in the following role/ capacity is preferred:
• Broker or investment bank
• Market supervision
• Compliance, risk management, surveillance or internal audit
• Good understanding of securities and derivatives markets, trading behaviors, and market conduct requirements
• Experience in onboarding/ admission assessments and supervisory reviews.
• Ability to analyze trading data and identify regulatory risks.
• Excellent report‑writing and documentation skills, with the ability to present findings clearly to senior stakeholders.
• Familiarity with regulatory frameworks, and rulebooks is an advantage.