Job purpose:
This is a role in the markets compliance team that is seated on the trading floor. Candidate will be responsible for monitoring regulatory changes, providing compliance advise, and performing various 2nd line compliance controls.
The candidate should be is able to work with teammates and stakeholders from different departments and of different levels, provide advice and perform groundwork for various compliance task and controls.
Key Activities:
- Monitoring regulatory changes impacting the FICC business and the branch.
- Advising front office colleagues on regulatory requirements relating to FICC business.
- Ensuring that the branch and its employee have the necessary licenses to conduct their business activities.
- Performing Compliance desk reviews on front office departments.
- Conducting Markets Compliance training for Front Office colleagues and other colleagues.
- Reviewing and approving new products approval requests.
- Supporting team members with trade and communications surveillance, PAD controls, including investigations of any related breaches
- Performing annual Compliance Risk Assessment for the branch
- Supporting the team for compliance projects, head office reporting audits and inspections
- Deputising for team lead in his absence.
Former education:
University degree
Specialist knowledge (work experience, further qualification):
Work Experience:
- 5-8 years of experience in Markets Compliance or related fields covering Global Markets sales and trading. Understanding of Banking Act, Securities and Futures Act, Bluebook, FX Global Code of Conduct and other MAS MAS notices and guidelines related to FICC sales and trading.
Other relevant skills:
- Good knowledge and understanding of the local regulatory framework and ability to analyse and interpret regulations and apply them to our business
- Ability to identify key issues and escalate them in a timely manner
- Good writing and communications skills
- Organised and methodical.
- Able to work with colleagues of various levels from Front Office and other departments
