Around 4 to 6 years of experience in compliance gained with investment banking or commodity firms
Exposure to commodity is useful but not a must
Ideally experience of compliance/ risk management in a trading environment
Our client is a renowned and global commodity MNC. This is a perm role.
Reporting to a senior compliance person, you are responsible for ensuring that the Marketing/trading teams comply with the Internal Group policies /procedures and externally driven regulations, resulting in a well-controlled Marketing organisation, where losses due to governance failure or non-compliance with regulations are avoided.
Implement the firm’s Marketing compliance programme, including policy drafting, KRI definition, training for all commercial staff etc.
Provide compliance advisory service to the Marketing BU Front, Middle and Back Office teams to advise on Marketing and Trading activities and how impacted by relevant external regulation, including:
Anti-bribery & Corruption compliance
Competition Law and Market Abuse (MAR/ MAD) compliance
And other social, ethical, and environmental regulations
Implement monitoring and reporting processes using trader surveillance tools, to enable:
The prevention and detection of Market abuse
The detection and reporting of "suspicious" orders or transactions
Monitor the external regulatory environment for changes that impact the Marketing BU, and update compliance Framework and materials accordingly.
Work with Group Legal to understand the implications of the upcoming regulation and devise implementation plan for the marketing business.
Ensure all Marketing Executives/employees are fully aware of their compliance responsibilities and duties through the provision of an annual training plan, regular written and face to face communications and the provision of Marketing specific guidance documents.
Maintain the ‘relevant employee’ model for Marketing BU where employees are assigned a compliance profile in accordance with the compliance risks faced by their role, and maintain training plan accordingly
Assist Group Policy Owners to tailor training materials for Marketing BU focus (includes Anti-Trust with Group Legal, and Business Integrity with Group EBCT). Assist in the provision of training to Marketing employees. Ensure training provided to all relevant Marketing Employees in accordance with their risk profile.
Embed Compliance culture in Marketing Business Unit, be point of contact in Singapore office for training and queries.
Perform the annual Compliance Risk Assessment process to identify and manage Marketing Business Unit’s compliance risks,and assist with Group Risk Assessment process.
Provision of monthly/ quarterly reporting on training completion, GEH/ COI submissions and other Compliance issues/ declarations.
Complete the automation of Compliance activities and reporting in the Marketing CORE Compliance tool.
University degree in relevant field, such as Law, Accounting or Economics
Around 4 to 6 experience in compliance gained in investment banking or commodity firms.
Ideally experience of compliance/ risk management in a trading environment will be useful but not a must
Experience of working with detailed legal/ policy documentation regarding UK/ EU/ International Regulations
Experience within a complex organisation across different countries and jurisdictions, cultures, interfacing with internal and external stakeholders.
Experience of working in a regulated industry.
Experience in Trade Surveillance (Market Abuse)
In depth knowledge of Anti Bribery & Corruption and Competition Laws
Excellent governance skills
Strong quantitative and analytical skills
Strong interpersonal and communication skills
Strong ability to prioritise and work effectively to meet deadlines, strong project management skills
Self-starter and highly professional
To apply, please send your cv in word doc to firstname.lastname@example.org. Please also include details of your current salary, expected salary and notice period in your cv.
We regret to inform that only shortlisted candidates will be notified.
The CAP Consulting Group Pte Ltd (UEN: 201417121C | Licence: 14C7175) is a private limited company registered in Singapore. It is a recruitment firm specialising in mid to senior level searches for all roles spanning across all industries in Singapore and parts of Asia ( China, Malaysia, Indonesia etc). The co’s website is at www.cap-cg.com
We adopt the CAP approach (stands for Committed, Advisory and Partnership approach) to help clients and candidates achieve greater success and enhanced result delivery. Staffed by seasoned search consultants with established track records in the industry, we offer an unparalleled ability to match talents with job opportunities via a thorough and rigorous search process which also ensures that the most suitable professional is identified for our client within a short turnaround time.
Experience with advisory/consulting skills in areas of ALM/FTP/Liquidity Risk/Market Risk and Basel II & III (esp. Liquidity Risk, Liquidity Rules) regulations or related risk management areas including credit risk.
Job Description :
To ensure customer service and support all operations. To create customer delight at every interaction.
Interacting with external customers and internal customers and addressing their queries, requests and complaints.
Committed TATs are met consistently
Complaints Management- addressing customer complaints at the branch, system updation, coordination with Sales/HUB/ other functions for resolution.
Refunds processing and dispatch
Undelivered policy documents tracking and management.
Maintenance of all files and registers.
New Business Processing:-
Handling end to end New business processing starting from creation of Client id,Case start up, New business login, Follow up for policy issuance, Quality Check
Follow up with HUB for policy issuance of pending cases