Grm-co Markets Compliance Officer

2 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.

  • Regulatory Compliance Manager

    7 days ago

    Singapore GREAT EASTERN Full time

    Description Regulatory Compliance Manager (GRM - Group Regulatory Compliance) Be among the first 25 applicants Job Purpose You will be part of a team to drive and implement the Compliance Risk Management Framework and compliance requirements for all GE entities within the Group, supporting business units in complying with relevant laws and regulations. The...

  • Senior Compliance Officer

    2 weeks ago

    Singapore XTX Markets Full time $120,000 - $200,000 per year

    The FirmXTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...

  • Senior Compliance Officer

    4 days ago

    Singapore Xtx Markets Pte. Ltd. Full time

    The Firm XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...

  • Senior Compliance Officer

    5 days ago

    Singapore XTX MARKETS PTE. LTD. Full time

    **The Firm**: XTX Markets is a leading algorithmic trading company partnering with counterparties, exchanges and e-trading venues globally to provide liquidity in the Equity, FX, Fixed Income and Commodity markets. We provide consistent liquidity, helping market participants throughout the world obtain the best prices in the various assets classes we cover,...

  • Senior Compliance Officer

    24 hours ago

    Singapore Xtx Markets Pte. Ltd. Full time $150,000 - $250,000 per year

    The FirmXTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...

  • Distribution Risk

    2 weeks ago

    Singapore EVO OUTSOURCING SOLUTIONS PTE. LTD. Full time

    **Job Requirements: - ** - Manage data incidents and conduct preliminary investigations as required - Ensure timely reviews of cases triggered by Company approved monitoring system, and also information via other sources reported to the department - Assist to be the point of contact to liaise with Group Risk Management (GRM) on Risk and Compliance, Business...

  • AVP, Compliance Officer

    7 hours ago

    Singapore SBI Digital Markets Full time

    Work with the Head of Compliance to assist in 1) establishing the compliance programme, aligned with the enterprise risk management framework, and focused on the identification, assessment, and management of compliance risks, and 2) providing day-to-day compliance advisory support to business and other departments. Compliance independently monitors...

  • AVP, Compliance Officer

    6 hours ago

    Singapore SBI Digital Markets Full time

    Description Work with the Head of Compliance to assist in 1) establishing the compliance programme, aligned with the enterprise risk management framework, and focused on the identification, assessment, and management of compliance risks, and 2) providing day-to-day compliance advisory support to business and other departments. Compliance independently...

  • Project Manager Risk-east Region

    5 days ago

    Singapore Liberty Insurance Pte Ltd Full time

    **Project Manager II - East Region (Asia - Pacific) Risk Leader, GRM Financial Risk Management** **Summary**: Building future capabilities to deliver a strong risk and control environment globally and preserving our financial integrity are priorities for Global Retail Markets Finance. Our organization is driving value creation through a strategic approach...

  • East Regional Distribution Leader

    5 days ago

    Singapore Liberty Insurance Pte Ltd Full time

    **GRM East **Regional Distribution Leader** **Hiring Manager**: Defne Turkes - COO GRM East (Singapore)*** **Location**: Singapore, Thailand, Vietnam, Hong Kong, China, India, Malaysia** **Description** The Regional Distribution Leader is a key member of the GRM East Region leadership team and is ultimately responsible for closely partnering with the...