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FOCS Officer

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FOCS Officer

  • Location:


  • Sector:

    LMA Asia Legal & Compliance

  • Job type:


  • Salary:


  • Contact:

    Ashley Ooi

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


  • Client:


Position Purpose

The Permanent Control framework aims to keep operations safe and continuously improve business processes and practices. The Chief Conduct & Control Office (CCCO) positioned within the business acts as the First Line of Defence (1LOD) in the Permanent Control framework and plays a key role in strengthening the platforms as activities expand or evolve.

Within the CCCO, the Front Office Conduct Surveillance (FOCS) is a detection an investigation team responsible for the monitoring of front office activity through the surveillance of trades, electronic & voice Communications. FOCS mission is to keep Front Officers aware of Code of Conduct, detect deviations from acceptable business practices and escalate breaches for management action.


  • Daily monitoring of Front Office activity to ensure that all relevant rules, regulations, group policies and procedures are adequately followed. The scope of FOCS monitoring encompasses E-communications, Voice calls and Trades;
  • Investigation of alerts, clearing of false positives and timely processing of true positives for further analysis;
  • Escalation of potential breaches according to severity to the relevant management level and/or to Compliance (acting as 2nd Line of Defence (2LOD));
  • Close coordination with Compliance for the performance of Calibration (BLT) and Quality Assurance (QA) reviews and Permanent Challenge (PC).
  • Precise and accurate documentation of the investigation results and record in the case management tool for audit purposes; close coordination with internal or external audit teams in the context of reviews of the activity;
  • Provide expertise to Business Owners and 2LOD when required; provide support to Business Owners to ensure that managers have visibility on all relevant signals in relation to the Conduct and Control behaviour of their team members;
  • Periodic review of controls (logic & calibration) with the aim to continuously improve and adapt the set-up to activities and market environment;
  • Design, test and deploy new controls to address emerging risks; Work in close collaboration with IT to design, test and deploy new surveillance tools and benefit from the addition of new technologies to improve the efficiency of the control framework;
  • Production of performance metrics and KPIs to (i) continuously monitor the efficiency of the surveillance framework and (ii) produce activity reports to Senior Management;
  • Documentation: assist with the drafting or periodic review of the policies and procedures;
  • Front Office Trainings: raise Front office awareness on Conduct risks, permanent Control and policies through dedicated business oriented training sessions;

Technical & Behavioural Competencies

  • Good understanding of financial markets products;
  • Prior experience in CIB activities and Financial markets (Rates, FX and/or Credit): 5-7 years of experience in the Front Office (Sales/Trading/ Investment Banking), Middle Office, or related Control, Audit, Compliance background relating to Global Markets trading activities or Investment Banking activities
  • Good understanding of Conduct risk and market misconduct concepts; prior experience in the utilization or design of surveillance tools, trading systems would be a plus
  • Basic skills in coding (Python) and/or data analytics would be a plus
  • Assertive, agile, willing to learn and adapt to different situations
  • Self-confident; able to challenge the status quo
  • Good organization skills and communication skills which is required to clearly articulate any surveillance/monitoring tools enhancement requirements when needed

Interested Applicants, Please send your CVs in Microsoft Word Format to Ashley Ooi. Email: Ashley.Ooi@lmarecruitment.ASIA

Company Reg No.: 201131609D, Licence No.: 11C4684, Reg No: R1871506

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