Ficc Compliance Manager

**Job purpose**: **Key activities**: - 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...

**Job purpose**: **Key Activities**: - 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...

Associate, FICC Sales, Fixed IncomePosition DescriptionThe Associate, FICC Sales will be a crucial member of the CITIC CLSA FICC Flow Sales team to support the growth of our primary and secondary Asian bond distribution into the Southeast Asian fixed income investor accounts. The person will work closely with the regional FICC coverage teams to bridge...

**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...

We are actively seeking a highly qualified Compliance professional boasting a minimum of 8 years of extensive experience in Compliance (excluding AML), Financial Services Regulatory Compliance, or with regulators, with deep knowledge of the Securities & Futures Act and SGX-ST rules. In this pivotal role, you will serve as a senior team member responsible...

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)...

Pinpoint Asia SingaporePosted 5 hours ago Permanent S$10k - S$20k - Posted by - Charlie Kim- Managing Consultant at Pinpoint Asia LimitedFollow **Responsibilities**: - Deliver global markets FICC IT Projects, work with business stakeholders and technology teams to form the project delivery plan for prioritised deliverables. - Assess any new cross-team...

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,...

We are working on an opportunity with a global investment bank who is hiring a senior Fixed Income Compliance professional to join their team in Singapore. You will be responsible to provide compliance advice on Fixed Income products and transactions, implement Fixed Income Global Markets related compliance policies and procedures in accordance with...

**JOB DESCRIPTION** Excellent Opportunity to be a part of the Fixed Income Compliance team **Job Summary**: As a Vice President in a line of business Compliance team covering Fixed Income, Currency and Commodities (FICC), you’ll be centrally involved in all aspects of the financial product sales and trading. You’ll work as part of a team that provide...