
Market Compliance Officer- Analyst
8 hours 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.
-
Market Analyst
3 weeks ago
Singapore Energy Market Company Full timeKey responsibilities The Market Analyst (Operations) is responsible for fulfilling the market operation obligations of EMC in accordance with the market rules. The scope of responsibilities includes performing and presenting analysis of market outcomes, support settlement operation duties and risk management, provision of market performance reporting and...
-
Compliance Analyst
1 week ago
Singapore Wellington Management Company, LLP Full time**About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture...
-
Compliance Analyst
3 weeks ago
Singapore Taylor Root Full timeOverview Compliance Analyst (Third Party Due Diligence). We are working in partnership with a well-established firm and they are looking to hire a Regional Compliance Analyst. Reporting to the Compliance Manager, you will be working closely with the various business units within Asia region, advising on ethics and compliance matters, with a focus on due...
-
Senior Analyst
4 days ago
Singapore ENERGY MARKET COMPANY PTE LTD Full time**Roles and Responsibilities The Senior Analyst (Market Surveillance) will assist the SVP MAU in Supporting the following team function: **Compliance Investigation and Enforce Functions** - Support the MArket Surveillance and Compliance Panel (MSCP) in performing their monitoring investigation and enforcement functions. - Conduct and develop investigations...
-
Markets Compliance
2 days ago
Singapore COMMERZBANK AKTIENGESELLSCHAFT Full time**Job purpose**: **Key activities**: 2. Review and investigations of voice communications from sales and trading staff. 3. Review and investigations trade surveillance alerts. 4. Reviewing/improving the surveillance scenarios 5. Implementing employee Personal Account Dealing (PAD) controls and monitoring PAD activities. 6. Draft/update policies and...
-
Compliance Analyst
5 days ago
Singapore WAYSTONE COMPLIANCE SOLUTIONS (SINGAPORE) PTE. LTD. Full timeAssist in the implementation of check and balance processes and corporate governance standards as per the client type, strategy, mission, and goals of the regulated entity; - Assist in providing day-to-day support in the development, implementation, and maintenance of client’s compliance programs; - Assist in development and implementation of compliance...
-
Singapore VALUE SEARCH ASIA PTE. LIMITED Full time**Compliance Assurance Conduct Business Analyst** - Global Investment Bank - APAC Opportunity - Technical Compliance Our client is a global investment bank with a strong presence in Asian markets. They are currently looking for a Compliance Assurance Conduct Business Analyst to join the Compliance Assurance Conduct team. The Compliance Assurance Conduct...
-
Marketing Analyst
3 weeks ago
Singapore HarbourVest Partners Full timeJoin to apply for the Marketing Analyst role at HarbourVest Partners 1 day ago Be among the first 25 applicants Join to apply for the Marketing Analyst role at HarbourVest Partners Get AI-powered advice on this job and more exclusive features. Job Description SummaryJob DescriptionFor over forty years, HarbourVest has been home to a committed team of...
-
Compliance Analyst
2 days ago
Singapore Danos Group Full timeOur client, a leading global private markets manager, is seeking a Compliance Analyst to support key compliance procedures ensuring the business meets its obligations and avoids reputational risk. This role offers exposure to various compliance areas, working closely with different business functions. Experience in KYC/CDD procedures, aligned with FATF...
-
Singapore Energy Market Authority Full time**What the role is** - Analyst - Senior Analyst (Electricity Industry Branch/Economic Regulation & Licensing Dept) **What you will be working on** **What we are looking for** - 1) Education in Economics, Accountancy, Law, Finance, Business or Engineering. 2) Relevant experience in regulatory, licensing, compliance related work in industries that are...