Grm-co Markets Compliance Officer

4 days ago

Singapore COMMERZBANK AKTIENGESELLSCHAFT Full time

**Job purpose**:
This is a role for a junior Markets Compliance officer (2 year contract) to support the Markets Compliance team in

the Singapore branch. The Markets Compliance team is primarily responsible for advising the branch on

regulated activities carried out by the Treasury and the Capital Markets sales and trading teams for Fixed

Income, Currencies and Commodities (FICC) products. The team is also responsible for performing controls and

advising on topics like conflicts of interests, personal account trading, trade and communications surveillance in

the branch. The team is seated together with the business on the trading floor.
- Interested in understanding the wholesale banking business for corporate and financial institutions clients.
- Interested in exposure to a wider range of markets compliance topics Willing to learn and take on responsibilities.

**Key Activities**:

- Supporting the VP on licensing and registration matters for the branch and its employees, regulatory change projects and desk reviews.
- Performing controls on employee Personal Account Dealing and answering related queries
- Supporting the surveillance officer on Communications and Trade Surveillance controls and investigations.
- Support senior team members in reviewing and updating compliance policies and procedures
- Supporting the team during audits and inspections
- Support the team to review potential conflicts, outside business interest request, new hire fit and proper declarations.
- Providing feedback to improve compliance processes and controls.
- Compile compliance management statistics for periodic management reporting locally and to head office.

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

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

- 1-3 years of Compliance experience in financial institution that deals with FICC products, Corporate and Institutional clients, covering topics like licensing/registration, PAD controls, regulatory changes, compliance reviews, or surveillance.
- 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 or characteristic**:

- Good writing and communications skills
- Organised and methodical.

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