**DUTIES & RESPONSIBILITIES**
To monitor and report compliance
- Monitoring compliance of Trading Participants and their personnel with the obligations under the PDEx Rules
- Monitoring of trades/transactions and preparing summary reports
- Preparing reports with regard to compliance
- Creating and maintaining databases and reports
To investigate and enforce
- Inquiring and investigating flagged transactions and send the necessary communications to TPs and their personnel
- Preparing and sending communications to Trading Participants for violations of the PDEx Rules
- Monitoring of violations and penalties imposed and updating the databases
To provide assistance in the following:
- Do checker functions on certain processes including but not limited to preparation and submission of reports, data or communications
- Providing the necessary data and information for the investigation process
- Monitoring of certain assigned transactions or processes
- Interpreting and analyzing the data for the investigation process
- Identifying, developing and implementing policies, procedures, guidelines and training materials to ensure Issuer compliance with applicable regulations
- Developing and enhancing surveillance and monitoring systems to maximize efficiency
- Liaising with the Associated Persons, Salesmen and other personnel of the Trading Participants and the different departments of PDEx and the regulatory agencies for the coordination of the monitoring, enforcement, and investigation
- Performing other assignments for PDEx as may be required
**JOB SPECIFICATIONS**
Education / Licenses Required
- College graduate; degree in business, accounting, economics, finance or units in law is an advantage
Experiences Required
- Knowledgeable on laws, rules and regulations pertaining to Exchanges, Securities Laws and other related regulations, and working knowledge of the operations of an entity dealing in fixed income securities is an advantage
- Experience in trading (buying or selling) of fixed income instruments is an advantage
Skills / Qualities Required
- Excellent command of the English language, verbal and written
- Expert on MS Office especially Excel and Powerpoint
- Must have the ability to work efficiently in a high pressure environment
- Must possess an analytical mind and can exercise mature judgment
- Must have the skill to maintain good client relations, internal and external including co-employees, regulators, investors and market and bourse participants.
- Ability to handle a variety of changing situations
Schedule:
- 8 hour shift
Supplemental Pay:
- 13th month salary
- Bonus pay
- Performance bonus