Senior Compliance Associate - Monitoring APAC
at StoneX Group
Singapore, Southeast, Singapore -
Start Date | Expiry Date | Salary | Posted On | Experience | Skills | Telecommute | Sponsor Visa |
---|---|---|---|---|---|---|---|
Immediate | 15 Sep, 2024 | Not Specified | 18 Jun, 2024 | N/A | English | No | No |
Required Visa Status:
Citizen | GC |
US Citizen | Student Visa |
H1B | CPT |
OPT | H4 Spouse of H1B |
GC Green Card |
Employment Type:
Full Time | Part Time |
Permanent | Independent - 1099 |
Contract – W2 | C2H Independent |
C2H W2 | Contract – Corp 2 Corp |
Contract to Hire – Corp 2 Corp |
Description:
EDUCATION / CERTIFICATION REQUIREMENTS:
- “A” Levels/Diploma/Degree and be competent in basic spoken and written English.
- Microsoft Outlook/Word/Excel Skills
Job ID 11477
Responsibilities:
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.
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
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.
REQUIREMENT SUMMARY
Min:N/AMax:5.0 year(s)
Financial Services
Accounts / Finance / Tax / CS / Audit
Finance
Diploma
Basic spoken and written english
Proficient
1
Singapore, Singapore