Our client is a Successful Proprietary Trading Firm with global presence. They are currently looking for a high caliber professional to join their team in Singapore as a Compliance Analyst, to support the firm in all aspects of Compliance, and promote it with a variety of regulatory requirements that impact the firm and its operations.
•Maintain accurate, organized and current compliance records and documentation in a manner consistent with the departments needs that allow the Firm to quickly respond to any inquiry or audit.
•Monitor trading activity using real time email alerts and various reports to examine self-trading activity, order marking, trade reporting and trading volumes. Analyze data and compile data into meaningful summaries, update log files and identify trends in a timely manner; making findings available for the team.
•Investigate potential compliance issues with traders, IT or operational staff as necessary and document findings
•Maintain and review policies, procedures, and practices to ensure compliance with laws, regulations, and industry best practices. Recommend changes to existing policies and procedures as necessary in response to business and regulatory changes or ideas to improve efficiency.
•Manage trader registration process for the firm and individuals as appropriate based on exchange memberships. Ensure employees are appropriately licensed and complete necessary continuing education requirements.
•Prepare and deliver educational programs such as new hire orientation, annual compliance meeting and trader orientations. Continually evaluate educational programs and make continuous improvements as necessary.
•Monitor proposed regulation, comment letters and enforcement actions to communicate the potential impact to the Firm.
•Establish regular communication with exchanges to maintain strong business relationships with exchanges and brokers.
•Other duties as assigned by manager.
•Experience in all areas of regulatory compliance and risks related to the rules and regulations of the Monetary Authority of Singapore (MAS), the Singapore Stock Exchange (SGX), Tokyo Stock Exchange (TSE), Osaka Securities Exchange (OSE), Japan Securities and Exchange Surveillance Commission, Japan Financial Services Agency, Australian Securities Exchange (ASX) and other local regulations and laws.
•Strong interpersonal, organizational, and time management skills
•Strong financial industry business knowledge
•Reliable and predictable attendance
•Excellent verbal and written communication skills
•Strong document writing skills in English
•Strong ability to work with users in a multi-cultural environment
•Strong collaboration skills, good attitude, ability to interact comfortably with all roles in a project team.
•Ability to work in a fast paced environment and handle multiple tasks and deadlines with strong attention to detail
•4 plus years compliance experience working in the financial industry
•Excellent computer skills in MS Office and SharePoint applications