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Senior Compliance Officer
1 week ago
This is a key hire for Asia and is based in Singapore for our client, one of the leading FX trading firms globally.
With the support of best in class technology, you will be part of a diverse organisation which attracts outstanding talent from across all industry backgrounds.
With an enviable work culture, focused on teamwork and strong collaboration across geographies, great people and great technology come together to offer their clients first class service levels.
You will have the opportunity to be involved with the implementation of new regulatory requirements including collaboration with other business units and development of firm-wide and departmental policies and procedures.
As a key member of the team supporting the CCO and contributing to the global department's mission in advising the business regarding regulatory requirements, administering the firm's compliance oversight function, monitoring the regulatory horizon, and implementing processes intended to meet regulatory requirements.
Responsibilities
- Advisory to the Asia focused proprietary trading business in Singapore
- Working with the global surveillance function to monitor trading and communication surveillance
- Coordinating the administration of the Compliance Monitoring Program
- Acting as a point of contact for the business on matters relating to conduct compliance, employee compliance training; and monitoring the regulatory horizons for requirements that will impact
- You will also be involved in developing, drafting and maintaining management information, internal briefings, processes and procedures documentation. This will involve working with the Legal Team and advising businesses from a compliance/regulatory perspective
- This role will also involve developing relationships with the Asia based exchanges and banks to understand rule book changes or market structure changes as well as being involved with the engagement of regulators or governments in respect of regulatory proposals or rule makings
Requirements:
- Must have experience working in a Tier1 Prop trading / quantitative trading firm, bank, brokerage, or large asset management compliance experience is preferable
- Compliance experience working with exchanges and regulators
- Prior experience of electronic trading and associated compliance control framework
- Experience with administering a Compliance Monitoring Program including conducting reviews, documenting results, and compiling management information
- Ability to provide training to the business regarding regulatory and compliance matters
- Commercial and pragmatic approach
- Experience working with exchanges and regulators would be beneficial
- Ability to synthesise data, maintain detailed records and provide management reports
- Effective writing skills for communication with external parties, other departments and senior management
Benefits
- Relocation is offered for anyone who has experience managing Singapore as part of their remit.
- Excellent work culture and opportunity to be part of an awardwinning company, with good team dynamics
- Low staff turnover, ethical and great office spaces
- Competitive salary and bonus
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