Compliance Officer – (Derivatives & Futures) recruitment
Day to Day Responsibilities Include: Develop and implement various compliance training programs and/or sessions. Conduct reviews of various Newedge derivative trading desks to ensure compliance with regulatory rules, Newedge policies, and identify risk within the trading operation procedures. Measure and monitor compliance risk within the entity, including but not limited to risk assessments, strengthen the internal control monitoring framework, assist the Department to enhance procedures to comply with regulations etc. Assist management in identifying and containing information risk, Read more […]
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. · Read more […]