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Advertisement Detail: Senior Compliance Officer

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Date Posted: 14 February 2019 / Location: Hong Kong

About the job

Corporate Banking
Trade Finance
Hong Kong
14 February 2019
14 February 2019
You will join an established team having strong relationships with the business and support functions, and will maintain a strong compliance culture within Capital Markets Compliance in Singapore.

You will support the Regional Head to discharge compliance advisory services in the commodities market, in particular precious and base metals, energy and agricultural products. In respect of the team’s regional brief, you will provide advisory services in liaison with country Compliance Officers and ensure consistency of approach and provide the necessary technical support to officers in the region with these objectives in mind.

You will:

• Review new business and product proposals or transactions and approve in accordance with delegated authority;
• Respond promptly to enquiries on compliance related matters;
• Conduct periodic reviews, update and introduce Compliance policy and procedures to ensure continuing relevance; and provide training, guidance, interpretation and direction to stakeholders/ new staff;
• Report, discuss and advise stakeholders on compliance and regulatory issues and respond promptly to enquiries on compliance related matters;
• Assist in the management of the compliance programme, such as review of marketing documents for Commodity products distributed in and outside Singapore, conflicts identification and mitigations, carry out compliance test analysis, compliance reviews, follow through of trade surveillance alerts, etc. as part of the team’s monitoring responsibility;
• Assist stakeholders and compliance team to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis);
• Assist the APAC Regional Head of Compliance in implementing global policies and procedures, and align to local applicable rules and regulations;
• Assist in the execution of monitoring and ensure control systems in place operate effectively so that compliance related issues are readily identified and remedial actions implemented in order to minimize risk, and taking appropriate steps to improve its effectiveness;
• Assist in the organization, administration and provision of compliance training for new employees, as well as providing on-going training for employees;
• Assist in the production of periodic MIS and KPIs as directed;
• Attend to ad hoc requests such as participation in specific projects, as directed from time to time by Compliance Management.
• Bachelor’s Degree or higher
• At least 5 years of work experience in the Commodity markets (ideally Softs, Precious Metals, Energy), with preferably OTC Commodity Derivatives and/or investment product experience
• Possess knowledge in most if not all of the following asset classes for both Exchange and OTC markets: Base and metals, Oil, Agricultural and soft commodities
• Possess an excellent knowledge of MAS requirements and their practical application
• Possess good acknowledge of Capital Market Operations
• Ideally have regional work experience in countries such as Singapore, Hong Kong and other Asian markets (including Japan).
• Asian language capability, in particular Mandarin, would be an added advantage, but is not essential. Excellent written and spoken English is essential.
• Possess strong communication and social skills
• Sound knowledge of Word, Excel and PowerPoint

Submit your application to quoting the Job Title or call us at +65 6549 7818 for more information.

Your interest will be treated in strict confidence.

Data collected will be used for recruitment purposes only. Personal data provided will be used strictly in accordance with the relevant data protection law and WMRC's personal information and privacy policy.

About the Company



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