Markets Compliance

2 weeks ago

Singapore COMMERZBANK AKTIENGESELLSCHAFT Full time
Roles & Responsibilities

Job purpose:

This is a role for the team lead of the markets compliance team. The team is responsible for:

  • monitoring regulatory changes
  • advising the Capital Markets and Treasury business activities
  • licensing and registration of branch and employees
  • reviewing global compliance policies and procedures
  • drafting/updating local addendums and procedures
  • reviewing and approving new products
  • performing compliance reviews
  • trade and communications surveillance of representatives (sales persons, traders etc)
  • monitoring employee's personal trading activities and insider list
  • management reporting
  • performing Compliance Risk Assessment and various 2nd line compliance controls.

The candidate will manage a team of 3 other employees and report into the Singapore head of compliance. He/she will also be responsible for responding regulatory queries relating to capital markets and treasury activities, managing audits and inspections, working with head office markets compliance colleagues on global requirements and minimum standards. The candidate needs to work with teammates and stakeholders from different departments and of different levels, provide advice and perform groundwork for various compliance task and controls.

Key activities:

  1. Team leader for the Singapore Markets Compliance team
  2. Monitoring regulatory changes impacting the Capital Markets, Structured products, Treasury businesses and the branch.
  3. Advising front office colleagues on regulatory requirements relating to sales and trading of capital markets products (FICC).
  4. Ensuring that the branch and its employee have the necessary licenses to conduct their business activities.
  5. Performing Compliance desk reviews on front office departments.
  6. Conducting Markets Compliance training for Front Office colleagues and other colleagues.
  7. Reviewing and approving new products approval requests.
  8. Drafting and updating local compliance policies, procedures and addendums
  9. Managing second line controls like trade and communications surveillance, PAD controls, including investigations of any related breaches and outsourcing requirements.
  10. Performing annual Compliance Risk Assessment for the branch.
  11. Supporting the team for compliance projects, management reporting, audits and inspections.

Formal education:

Ideally at least a University degree

Specialist knowledge (work experience, further qualification):

Work Experience:

  • 7-10 years of experience in Markets Compliance or related fields, covering Global Markets sales and trading in Singapore. Understanding of Banking Act, Securities and Futures Act, Bluebook, FX Global Code of Conduct and other MAS notices and guidelines related to FICC sales and trading.
  • Experience in managing teams of at least 3-4 people.
  • Good understanding of FICC OTC derivatives products

Other relevant skills:

  • Good knowledge and understanding of the local regulatory framework and ability to analyse and interpret regulations and apply them to our business
  • Ability to identify key issues and escalate them in a timely manner
  • Good writing and communications skills
  • Organised and methodical.
  • Reviewing of changes in global policies and procedures
  • Advising Finance and Operations departments on topics like MAS 610 and OTC Derivatives reporting.
  • Able to work with colleagues of various levels from Front Office and other departments
  • Working together with head office markets compliance on global changes and compliance projects
  • Managing and planning team resources.
Tell employers what skills you have

Wholesale Banking
Securities
Organized
Surveillance
Capital Markets
Compliance
Writing
Audits
Communication Skills
Banking
AML
Statistics
Fixed Income
KYC

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