Compliance Officer, Singapore
Compliance Officer, Singapore
-
Singapore
-
Posted: less than a week ago
-
Save
Description
Our client is an established yet fast-growing global commodity brokerage combining international scale with a genuinely people-focused culture
This is a key role, based in Singapore, working within a rapidly growing global commodities brokerage firm headquartered in London. The role requires a range of compliance skills and knowledge, the ability to manage priorities, and to quickly become familiar with new compliance requirements.
RESPONSIBILITIES:
Primarily, compliance advisory for the brokers and Operations team in Singapore Working closely with the London compliance team to support compliance with the firm's regulatory monitoring requirements, including: Review of late trade reports and follow-up as appropriate Monthly monitoring of trades (audit trails/trade reconstructions) Communications monitoring Conducting regulatory certification / registration processes in compliance with FCA/NFA requirements Maintenance of all relevant compliance registers, records, and files Assisting with responses to regulatory inquiries Additional ad hoc projects and work as requested by the Senior Compliance Officer or Senior Management
CANDIDATE REQUIREMENTS:
Minimum of 3-5 years compliance experience in the financial services industry, preferably within an institutional brokerage environment. An understanding of commodity derivative products is essential; in particular, oil markets Good knowledge and understanding of FCA regulations, preferably CFTC/NFA rules as well Good knowledge and understanding of ICE and CME exchange rules, particularly as they pertain to block futures trades Strong communication skills, both written and verbal Strong interpersonal skills and a positive 'can-do' attitude Good time management and prioritization skills Ability to work in a fast-paced environment Strong analytical skills and attention to detail
This is a key role, based in Singapore, working within a rapidly growing global commodities brokerage firm headquartered in London. The role requires a range of compliance skills and knowledge, the ability to manage priorities, and to quickly become familiar with new compliance requirements.
RESPONSIBILITIES:
Primarily, compliance advisory for the brokers and Operations team in Singapore Working closely with the London compliance team to support compliance with the firm's regulatory monitoring requirements, including: Review of late trade reports and follow-up as appropriate Monthly monitoring of trades (audit trails/trade reconstructions) Communications monitoring Conducting regulatory certification / registration processes in compliance with FCA/NFA requirements Maintenance of all relevant compliance registers, records, and files Assisting with responses to regulatory inquiries Additional ad hoc projects and work as requested by the Senior Compliance Officer or Senior Management
CANDIDATE REQUIREMENTS:
Minimum of 3-5 years compliance experience in the financial services industry, preferably within an institutional brokerage environment. An understanding of commodity derivative products is essential; in particular, oil markets Good knowledge and understanding of FCA regulations, preferably CFTC/NFA rules as well Good knowledge and understanding of ICE and CME exchange rules, particularly as they pertain to block futures trades Strong communication skills, both written and verbal Strong interpersonal skills and a positive 'can-do' attitude Good time management and prioritization skills Ability to work in a fast-paced environment Strong analytical skills and attention to detail
Highlights
-
Company namerichard james recruitment specialists ltd
-
Job positionCompliance Officer
Safety Tips
Be careful with multilevel marketing programs, and their income projections.
More info about this ad
Compliance Officer has been posted in the Bishan Accounting, Financing & Banking category on Locanto.
For Bishan, there are no other ads posted in this category.
Interested in more? Widen your search to view ads in nearby areas of Bishan. This includes Accounting, Financing & Banking in Newton, Tanglin and Toa Payoh. There are more ads within a 15 km radius for this category. If you want to view those ads, click here.