Senior Compliance Associate – Monitoring APAC

at  StoneX Group

Overview:
Class: Full-time
Legal Entity: StoneX Financial Pte. Ltd.
Reports to: Senior Compliance Manager- Monitoring APAC

EDUCATION / CERTIFICATION REQUIREMENTS:

• “A” Levels/Diploma/Degree and be competent in basic spoken and written English.
• Microsoft Outlook/Word/Excel Skills

POSITION PURPOSE:

The Asia Compliance department in Singapore is seeking suitably qualified candidates to be trained in all aspects of Compliance for Capital Markets and Global Payments. The appointed person will be part of the Compliance Monitoring team reviewing the firm’s adherence to all its regulatory obligations across a wide spectrum of business conduct and functions.
Responsibilities:

PRIMARY DUTIES WILL INCLUDE:

• Carry out Compliance Testing on a regular basis as part of the firm’s Compliance Monitoring Program
• Extracting out raw data and conducting detailed analysis against expected conduct outcomes
• Writing out findings for submission to governance committees reviews
• Following-up with business units for remediation action
• Reporting back to the committee with status of remediation
• Trade Surveillance for any market abuse incidents
• Ensuring verbal and written recordings are in place as per Company’s policies
• Attending to queries from Exchanges’ regulators and other StoneX entities
  Qualifications:

TO LAND THIS ROLE YOU WILL NEED:

• Comfortable with usage of proprietary enterprise systems
• Good to have proficiencies but not mandatory, in NASDAQ SMARTS, One-Tick, Actimize
• Ability to work independently.
• Keen attention to detail.
• Willingness to work under tight deadlines.
• Good work ethics with a desire to develop a career in compliance.