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
