Asset Compliance Specialist

2 days ago

London, Greater London, United Kingdom The Baltic Exchange Full time
Compliance Co-ordinator Job Description

The Baltic Exchange is seeking a highly motivated Compliance Co-ordinator to join our team. As a key member of our Compliance Function, you will play a crucial role in ensuring that our operations are conducted in accordance with all applicable laws, rules, and regulations.

Key Responsibilities:
  • Ensure regulatory compliance in all areas related to benchmark administration, including Conduct Rules, Conflicts of Interest, Personal Account Dealing, and data protection requirements.
  • Monitor and report on regulatory developments and changes that may affect the Baltic Exchange or its subsidiary benchmark administrator entity.
  • Assist in the development and maintenance of Compliance and Risk programmes across the Baltic Exchange, including the deployment of the risk management framework and the identification of new and emerging risks.
  • Support the Head of Compliance in the review and update of relevant documentation, strategies, policies, and procedures.
  • Contribute to the preparation of compliance reports to the board and oversight functions.
  • Perform monitoring of 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.
Requirements:
  • 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.
  • Knowledge and experience of the Compliance Function.

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