Markets Compliance

2 weeks 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 procedures related to various compliance controls

7. Working with head office to coordinate implementation of compliance systems, enhancement, or changes.

8. Supporting Markets Compliance officers with additional projects and tasks like audits, inspections, desk reviews and regulatory change projects

8. Department representative for outsourcing topics.

9. Responsible for Compliance reporting to branch management and head office

**Formal education**:
Polytechnic diploma or university degree.

**Specialist knowledge (work experience, further qualification)**:
Work Experience:

- 2-5 years of experience in trade and communications surveillance roles covering Global Markets/Investment Banking and FICC products. Basic understanding of Banking Act, Securities and Futures Act, Bluebook, FX Global Code of Conduct and other MAS MAS notices and guidelines related to FICC sales and trading.

Other relevant skills:

- Willing to learn and take on responsibilities.
- Good writing and communications skills
- Organised and methodical.
- Able to work with colleagues of various levels from Front Office and other departments
- Ability to identify key systems or conduct issues and escalate them in a timely manner

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