BACKGROUND
Our client is a top-tier Financial Institution in the APAC Region. Has a team of 3 and is looking for a candidate for OTC Business Compliance experience.
JOB RESPONSIBILITY
- Monitor regulatory developments in OTC derivatives markets and assess their impact on the firm's trading activities
- Establish and maintain robust compliance frameworks, policies, and procedures to mitigate compliance risks
- Perform ongoing compliance reviews and audits of OTC trading operations, documentation, and reporting
- Liaise with regulators and external auditors on compliance-related matters
- Provide compliance guidance and training to front office personnel
- Investigate and report on any suspected compliance breaches or irregularities
- Collaborate with other control functions (e.g. legal, risk, operations) to ensure a coordinated approach to compliance
JOB REQUIREMENTS
- Minimum 8 years of experience in compliance or risk management, with a focus on OTC derivatives
- Strong understanding of relevant regulations and their implications for OTC trading
- Proven track record of developing and implementing effective compliance programs
- Excellent analytical and problem-solving skills
- Ability to communicate complex compliance requirements to both technical and non-technical stakeholders
