Roles & Responsibilities
Full-time on site
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, theability to manage priorities, and to quickly become familiar with new compliance requirements.
The Role Involves, But Is Not Limited To
- Primarily, compliance advisory for thebrokers and Operations team in Singapore
- Working closely with the Londoncompliance team to support compliance with the firm's regulatory monitoringrequirements, including:
- Review of late trade reports andfollow-up as appropriate
- Monthly monitoring of trades (audittrails/trade reconstructions)
- Communications monitoring
- Conducting regulatory certification /registration processes in compliance with FCA/NFA requirements
- Maintenance of all relevant complianceregisters, records, and files
- Assisting with responses to regulatoryinquiries
- Additional ad hoc projects and work asrequested by the Senior Compliance Officer or Senior Management
Candidate Requirements
- Minimum of 3 years complianceexperience in the financial services industry, preferably within aninstitutional brokerage environment.
- An understanding of commodityderivative products is essential; in particular, oil markets
- Good knowledge and understanding of:
- FCA regulations, preferably CFTC/NFArules as well
- ICE and CME exchange rules,particularly as they pertain to block futures trades
- Strong communication skills, bothwritten and verbal
- Strong interpersonal skills and apositive can-do attitude
- Good time management andprioritization skills
- Ability to work in a fast-pacedenvironment
- Strong analytical skills andattention to detail
