![StoneX Group](https://media.trabajo.org/img/noimg.jpg)
Compliance Associate
2 weeks ago
Overview:
Class:
Full-time
Legal Entity:
StoneX Financial Pte. Ltd.
Reports to:
Compliance Manager
- Monitoring APAC
Company Overview:
StoneX is an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem through a unique blend of digital platforms, end-to-end clearing and execution services, high-touch service, and deep expertise
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.
Position Purpose:
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
- Followingup 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.
Education / Certification Requirements:
- "A" Levels/Diploma/Degree and be competent in basic spoken and written English.
- Microsoft Outlook/Word/Excel Skills
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