Our client is seeking a skilled and proactive Compliance Officer to join our client’s, Markets Compliance Team. This critical role involves monitoring regulatory changes, providing compliance advice, and executing 2nd line compliance controls to support our FICC business.
Key Responsibilities:
- Regulatory Monitoring: Track and evaluate regulatory changes affecting the FICC business and branch operations.
- Compliance Advisory: Advise front office colleagues on regulatory requirements relevant to FICC business.
- Licensing Management: Ensure the branch and employees maintain necessary licenses for business activities.
- Desk Reviews: Conduct compliance reviews of front office departments.
- Training Delivery: Lead Markets Compliance training sessions for Front Office and other departments.
- Product Approval: Review and approve new product approval requests.
- Trade & Communications Surveillance: Support the team with surveillance tasks, including investigating breaches.
- Risk Assessment: Perform annual Compliance Risk Assessments for the branch.
- Project & Audit Support: Assist with compliance projects, audits, and inspections.
- Leadership Support: Act as a deputy for the team lead during their absence.
Qualifications:
- Education: University degree.
- Experience: 5-8 years in Markets Compliance or related fields, specifically in Global Markets sales and trading.
- Regulatory Knowledge: Familiarity with Banking Act, Securities and Futures Act, Bluebook, FX Global Code of Conduct, and other MAS notices and guidelines related to FICC sales and trading.
If you or anyone within your network would like to apply for the role then do share your resume with [email protected]
