Compliance Officer – Derivatives & Futures recruitment

Day to Day Responsibilities Include:

· Respond to regulatory matters related to NUSA and, in this regard, train and assist other members of the Compliance team concerning regulatory requests, training, and regulatory examinations.

· Conduct Desk Reviews and Branch Reviews in accordance with the Compliance Program.

· On-going implementation of the Department's Permanent Supervision program, liaising with both the Heads of Compliance for the region and Operational Risk in the region.

· Oversight of issues including maintaining Conflict of Interest Policy and Personal Trading Policy.

· Assist the TMT Group in the implementation of monitoring tools as necessary.

· Along with the Heads of Compliance, act as the Liaison between Newedge and various external and internal auditors.

· Oversee regular regulatory reporting obligations, hedge exemptions, etc.

· Contribute to new product/new market initiatives in relation to Compliance with rules/regulations.

· Represent the Department at internal and external meetings, with regulators and others.

· Conduct internal investigations on potential breaks of rules/regulations and company policies.

· Assist to position Compliance as a business partner to facilitate business in accordance with all relevant rules and requirements.

· Participate in New Product review and provide input in issues or requirements in relation to new products.

· With the Heads of Compliance for the region, and other senior colleagues, key point of contact and liaison with front office on regulatory matters.

· Assist in the training of staff within NUSA in relation to rules and regulations, focusing particularly on weaknesses identified by the Compliance Program.

· With the Heads of Compliance for the region, deal with breaches of rules and regulations and procedures.

· Proactively position the company for regulatory changes and new developments.

· Ability to interact with staff at all levels.

Qualifications Include:

· 7+ years Compliance experience.

· Knowledge of derivatives and securities products.

· Able to help deal with the day-to-day requirements of the team as well as high level issues.

· Ability to work under own initiative and experience when targets and tasks are set.

· Ability to efficiently analyze issues and problems, etc.

· Good written and verbal communication skills.

· Performing the various monitoring tasks, including desk reviews

· Supervisory and leadership skills.

· Hold Series 3, 7, and 24 licenses.