Compliance Officer

1 day ago

Davao City, Davao, Philippines Bachy Soletanche Singapore Full time

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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

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