Market Compliance Officer- Analyst
3 days ago
Our client, a leading financial services firm is seeking to hire an Markets Compliance Officer for a two-year contract.
The incumbent will be supporting the Markets Compliance team.The role involves advising on regulated activities within the Treasury and Capital Markets sales and trading teams, focusing on Fixed Income, Currencies, and Commodities (FICC) products. The team is also responsible for controls, conflict of interest management, personal account trading oversight, and trade and communications surveillance.
**Key Responsibilities**:
- Support the VP on licensing and registration matters, regulatory change projects, and desk reviews.
- Perform controls on employee Personal Account Dealing and respond to related queries.
- Assist the surveillance officer in Communications and Trade Surveillance controls and investigations.
- Support senior team members in reviewing and updating compliance policies and procedures.
- Assist the team during audits and inspections.
- Review potential conflicts, handle outside business interest requests, and assess new hire fit and proper declarations.
- Provide feedback to enhance compliance processes and controls.
- Compile compliance management statistics for periodic management reporting locally and to the head office.
**Qualifications**:
- Polytechnic diploma or university degree.
- 1-3 years of Compliance experience in a financial institution dealing with FICC products and corporate clients.
- Basic understanding of the Banking Act, Securities and Futures Act, Bluebook, FX Global Code of Conduct, and other relevant MAS notices and guidelines related to FICC sales and trading.
**Skills and Characteristics**:
- Good writing and communication skills.
- Organized and methodical.
- Interest in understanding wholesale banking for corporate and financial institutions.
- Willingness to learn and take on responsibilities.
Interns having experience in market compliance and licensing are welcome to apply.
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