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Compliance Officer
2 months ago
The Baltic Exchange is seeking a highly motivated and experienced Compliance Officer to play a critical role in ensuring that our business operates in accordance with all applicable laws, rules, and regulations.
About the Baltic ExchangeThe Baltic Exchange is the world's leading source of independent maritime market data. We bring together shipowners, charterers, and brokers to create a framework for a high standard of business practice. Our indices and assessments are used as a settlement tool for freight derivative trades and as a benchmark for physical contracts.
Key Responsibilities- Ensure regulatory compliance in all areas related to benchmark administration, including Conduct Rules, Conflicts of Interest, and Personal Account Dealing.
- Ensure regulatory compliance with data protection requirements and assist in the development of documentation for first-line business departments.
- Stay up-to-date with relevant regulatory developments and changes that may affect the Baltic Exchange or its subsidiary benchmark administrator entity.
- Assist the Head of Compliance in all compliance activities related to benchmark administration, including the UK BMR, EU BMR, IOSCO PFBs, and IOSCO PRAs.
- Contribute to the preparation of documentation and compliance programs for annual audits.
- Support the Head of Compliance in reviewing and updating relevant documentation, strategies, policies, and procedures.
- Assist in the development and maintenance of Compliance and Risk programs across the Baltic Exchange.
- Ensure logging, reporting, investigation, and management of incidents in accordance with appropriate procedures.
- Assist with compliance activities and engage with the IT department on disaster recovery planning, business continuity measures, and impact assessments.
- Assist with the preparation of compliance reports to the board and oversight functions.
- Monitor communications from Panellists to identify instances of actual or potential market abuse or other procedural or regulatory issues.
- Provide second-line review of KYC queries where required.
- Liaise with SGX legal, compliance, and risk departments as needed.
- Assist in the audit process and liaison with external auditors for annual audits.
- Assist in the investigation of complaints, including independent compliance investigation and compiling evidentiary documentation.
- Support the Head of Compliance in maintaining positive relationships with the regulator and addressing any regulatory queries.
- Provide administrative and organisational support to the Head of Compliance.
- Bachelor's degree supplemented by a minimum of 5 years of professional experience in compliance or risk management.
- Strong basic IT skills in Outlook, Word, Excel, PowerPoint, and the remainder of the MS Office suite.
- Compliance-related qualifications desirable.
- Knowledge and experience of the Compliance Function.
- Knowledge and understanding of FCA Handbook and FCA requirements.
- Excellent attention to detail.
- High degree of professional integrity.
- Proactive and personable approach.
- Ability to provide information in a clear, concise, and logical format.
- Good written/oral communication skills.
- Very good at multi-tasking.
- Good organisation skills with the ability to prioritise, plan workloads, and work to tight deadlines.
- Ability to roll up sleeves and work with team members in a hands-on capacity.
- Co-operative, 'can-do' attitude and willingness to continually learn and improve.
