Compliance Officer

Our client is an established yet fast-growing global commodity brokerage combining international scale with a genuinely people-focused culture

This is a key role, based in Singapore, working within a rapidly growing global commodities brokerage firm headquartered in London. The role requires a range of compliance skills and knowledge, the ability to manage priorities, and to quickly become familiar with new compliance requirements.

RESPONSIBILITIES:

• Primarily, compliance advisory for the brokers and Operations team in Singapore
• Working closely with the London compliance team to support compliance with the firm’s regulatory monitoring requirements, including:
• Review of late trade reports and follow-up as appropriate
• Monthly monitoring of trades (audit trails/trade reconstructions)
• Communications monitoring
• Conducting regulatory certification / registration processes in compliance with FCA/NFA requirements
• Maintenance of all relevant compliance registers, records, and files
• Assisting with responses to regulatory inquiries
• Additional ad hoc projects and work as requested by the Senior Compliance Officer or Senior Management

CANDIDATE REQUIREMENTS:

• Minimum of 3-5 years compliance experience in the financial services industry, preferably within an institutional brokerage environment.
• An understanding of commodity derivative products is essential; in particular, oil markets
• Good knowledge and understanding of:FCA regulations, preferably CFTC/NFA rules as well ICE and CME exchange rules, particularly as they pertain to block futures trades
• Strong communication skills, both written and verbal
• Strong interpersonal skills and a positive ‘can-do’ attitude
• Good time management and prioritization skills
• Ability to work in a fast-paced environment
• Strong analytical skills and attention to detail