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Futures/Brokerage/Commodities Compliance -AVP to VP
Futures/Brokerage and/or Commodities Compliance
Team of 3 in Singapore
About Our Client
Our client is an International Financial Services firm providing clients with asset management and finance, banking, advisory and risk and capital solutions across various asset classes. The role sits in the Global Markets and Commodities arm of the group which provides clients with an integrated, end-to-end offering across global markets including equities, fixed income, foreign exchange and commodities.
Key responsibilities are to:
- Provide compliance support to various desks and businesses in Asia, focusing on Futures and Commodities product.
- Assist with regulatory and compliance issues relating to business activities;
- Work on the compliance review of new transactions and new products;
- Involve in the development and maintenance of compliance plans, related policies and procedures and monitor compliance with these policies;
- Assist with the preparation of regulatory compliance reports as required per the compliance plans and governance framework;
- Conduct ongoing risk assessment on the business and ensure adequate controls are established;
- Oversee the monitoring, reporting and escalation of compliance issues;
- Keep abreast of upcoming, new and revised rules, regulations and directives applicable to the business, and facilitate changes as required. This includes proactive and early communication with business and compliance stakeholders to ensure timely compliance with any changes required;
- Assist senior management with the delivery of key divisional projects as required; and
- Liaise with compliance colleagues to assist with the delivery of the regional and global compliance priorities.
The Successful Applicant
The successful candidate will have:
- Bachelor's Degree - ideally in Law or Banking/Finance
- 6-10 years business compliance experience in futures brokerage and/or commodities business, either with regulators (MAS or SGX), financial institutions, and/or commodities trading firms;
- Knowledge of the relevant OTC regulatory reforms such as Singapore's, Dodd Frank and EMIR regulatory requirements;
- Some experience dealing with Asian regulators such as the Monetary Authority of Singapore and relevant industry bodies;
- Strong relationship / stakeholder management with demonstrated ability to influence key stakeholders through effective communication (written and verbal) and persuasive presentations;
- Demonstrated experience successfully engaging with regulators, senior business executives and boards
What's on Offer
On offer is a great opportunity to join a growing business and Compliance team in the region. The firm offers a very competitive remuneration package with good work life balance.