Overview
Class: Full-time and Permanent
Legal Entity: StoneX Financial Pte Ltd
Organization: StoneX Financial Pte Ltd
Reports to: Head of Compliance, APAC
Company Overview:
Connecting clients to markets and talent to opportunity.
With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional in vesting, StoneX Group is made up of four business segments that offer endless potential for progression and growth.
Business Segment Overview
Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you'll have the opportunity to optimize processes and implement game-changing policies.
Responsibilities
Position Purpose:
In Singapore, StoneX is regulated by MAS as a Capital Markets Service Licensee, an Exempt Financial Adviser and a Major Payment Institution, and by MinLaw as a registered dealer of precious stones and metals. StoneX is also a trading member of SGX-DT and a clearing member of SGX-DC. In Hong Kong, StoneX is regulated by SFC for Type 1 (Dealing in Securities) and Type 2 (Dealing in Futures Contract).
This role at StoneX will manage business, regulatory compliance and reputational risks in APAC by ensuring adherence to laws and regulations, updating policies and procedures to comply with regulatory changes, advising businesses and senior management, managing audits and inquiries, conducting training and compliance testing.
Primary duties will include:
- Provide business and regulatory compliance advice to senior management and business units such as Derivatives, Securities, Commodities, and Leverage Foreign Exchange.
- Update policies, procedures and controls to meet regulatory requirements of MAS, SGX-DT, SGX-DC, SFC and other regulators in APAC
- Supervise licensing, regulatory change management, reporting of derivatives contracts, trade surveillance, market abuse, complaints handling, compliance monitoring, conflict of interests management, cross-border marketing, outsourcing, training and management reporting
- Advising on business expansion, innovative products, customer transactions and regulatory issues in APAC
- Perform compliance risk assessment and ensure effective measures are in place to identify, assess and mitigate risks
- Assist in audits, investigations and responding to queries from regulators and exchanges
- Participate in strategic projects to upgrade digital platforms
- This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
Qualifications
To land this role you will need:
- Minimum 5 years of experience in regulatory compliance in financial services and/or regulatory environment involving derivatives (exchange-traded and OTC)
- Work experience in audit firms, banks, brokerages or audit firms
- Knowledge of MAS regulations, SGX-DT rules and best practices
What makes you stand out:
- Attention to detail, pro-active, hands-on approach to problem solving
- Agile mindset, collaborative and trustworthy team player
- Familiarity with compliance systems is advantageous
Education / Certification Requirements:
- University Degree in accounting, business, finance, law or related fields
- Professional certification in compliance is advantageous
Working environment:
- Hybrid (1-day WFH)
- Regular knowledge-sharing meetings and mentoring sessions
- No Travel Requirements
