Compliance Executive
Compliance Executive in Commodity Trading is responsible for ensuring that all trading activities adhere to regulatory requirements and internal policies. The officer monitors compliance with relevant laws and regulations, implements risk management strategies, and ensures that trading practices align with legal and ethical standards.
Roles & Responsibilities
Key Responsibilities:
· Develop, review, and update compliance policies and SOPs in alignment with legal and regulatory requirements.
· Ensure effective communication and training on compliance policies to all relevant staff
· Conduct regular risk assessments to identify potential compliance risks and develop
strategies to mitigate them.
· Monitor and report on compliance risks and recommend corrective actions as
necessary.
· Coordinate and support internal and external audits, ensuring timely and effective
resolution of audit findings.
· Regularly monitor compliance with policies and SOPs, conducting compliance reviews
and assessments.
· Maintain comprehensive records of compliance activities and provide regular reports
to management on compliance status and issues.
· Develop and implement training programs to promote awareness of compliance
issues among employees.
· Stay updated on relevant laws, regulations, and industry standards.
· Identify potential conflicts of interest and develop strategies to manage and disclose
them appropriately.
· Ensure that business practices do not compromise the firm’s integrity or client
interests.
· Investigate and manage compliance incidents, including breaches of policy or
regulation.
· Support Data Protection committees within the Organization.
· Develop, implement, and monitor data protection compliance policies and controls.
Requirements:
· Bachelor’s degree Finance, Business, Law or other degree in related field.
· Certification in Compliance will be advantage
· Minimum 5 years of experience in compliance, risk management, or audit functions,
· Strong understanding of compliance frameworks, risk management principles, and
regulatory requirements in Singapore.
· Excellent analytical and problem-solving skills, with the ability to interpret complex
regulations and policies.
· Strong communication and interpersonal skills, with the ability to influence and
engage stakeholders at all levels.
· High level of integrity and professionalism.
· Detail-oriented with a strong commitment to accuracy.
Compliance Executive in Commodity Trading is responsible for ensuring that all trading activities adhere to regulatory requirements and internal policies. The officer monitors compliance with relevant laws and regulations, implements risk management strategies, and ensures that trading practices align with legal and ethical standards.
Roles & Responsibilities
Key Responsibilities:
· Develop, review, and update compliance policies and SOPs in alignment with legal and regulatory requirements.
· Ensure effective communication and training on compliance policies to all relevant staff
· Conduct regular risk assessments to identify potential compliance risks and develop
strategies to mitigate them.
· Monitor and report on compliance risks and recommend corrective actions as
necessary.
· Coordinate and support internal and external audits, ensuring timely and effective
resolution of audit findings.
· Regularly monitor compliance with policies and SOPs, conducting compliance reviews
and assessments.
· Maintain comprehensive records of compliance activities and provide regular reports
to management on compliance status and issues.
· Develop and implement training programs to promote awareness of compliance
issues among employees.
· Stay updated on relevant laws, regulations, and industry standards.
· Identify potential conflicts of interest and develop strategies to manage and disclose
them appropriately.
· Ensure that business practices do not compromise the firm’s integrity or client
interests.
· Investigate and manage compliance incidents, including breaches of policy or
regulation.
· Support Data Protection committees within the Organization.
· Develop, implement, and monitor data protection compliance policies and controls.
Requirements:
· Bachelor’s degree Finance, Business, Law or other degree in related field.
· Certification in Compliance will be advantage
· Minimum 5 years of experience in compliance, risk management, or audit functions,
· Strong understanding of compliance frameworks, risk management principles, and
regulatory requirements in Singapore.
· Excellent analytical and problem-solving skills, with the ability to interpret complex
regulations and policies.
· Strong communication and interpersonal skills, with the ability to influence and
engage stakeholders at all levels.
· High level of integrity and professionalism.
· Detail-oriented with a strong commitment to accuracy.