Markets Compliance/ Trade Surveillance/ Regulatory

7 days ago

Singapore KS CONSULTING PTE. LTD. Full time

Our client, a leading financial services company is looking to hire a Markets Compliance professional having solid experience in FICC and having a good understanding of Banking Act, Securities and Futures Act, Bluebook, FX Global Code.

**Responsibilities**:

- Monitoring regulatory changes impacting the FICC business and the branch.
- Advising front office colleagues on regulatory requirements relating to FICC business.
- Ensuring that the branch and its employee have the necessary licenses to conduct their business activities.
- Performing Compliance desk reviews on front office departments.
- Conducting Markets Compliance training for Front Office colleagues and other colleagues.
- Reviewing and approving new products approval requests.
- Supporting team members with trade and communications surveillance, PAD controls, including investigations of any related breaches
- Performing annual Compliance Risk Assessment for the branch
- Supporting the team for compliance projects, head office reporting audits and inspections
- Deputising for team lead in his absence.
- Provide advice and perform groundwork for various compliance task and controls

**Requirements**:

- 5-8 years of experience in Markets Compliance or related fields covering Global Markets sales and trading.
- Understanding of MAS MAS notices and guidelines related to FICC sales and trading
- Ability to identify key issues and escalate them in a timely manner.

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