Senior Associate, Regulatory Compliance, APAC

3 days ago

Singapore StoneX Group Inc. Full time

Senior Associate, Regulatory Compliance, APAC
Join to apply for the
Senior Associate, Regulatory Compliance, APAC
role at
StoneX Group Inc.
Senior Associate, Regulatory Compliance, APAC
2 weeks ago Be among the first 25 applicants
Join to apply for the
Senior Associate, Regulatory Compliance, APAC
role at
StoneX Group Inc.
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Company Overview:
Connecting clients to markets – and talent to opportunity
With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets with a focus on innovation, human connection, and world-class products and services.
Overview
Class: Full-time AND Permanent
Legal Entity: StoneX Financial Pte. Ltd
Organization: StoneX Financial Pte. Ltd
Report to: Head of Compliance, APAC
Business Segment Overview
Corporate:
Engage in strategic marketing, financial management, human resources, and operational oversight to optimize processes and policies.
Responsibilities
Position Purpose:
In Singapore, StoneX is regulated by MAS, MinLaw, SGX, and SFC for various financial and trading activities. This role manages regulatory compliance and reputational risks by ensuring adherence to laws and regulations, advising on business activities, updating policies, managing audits, and conducting compliance reviews.
Primary duties include:
Advising businesses (Derivatives, Securities, Retail CFDs)
Conducting compliance reviews, testings, and trade surveillance
Preparing licensing applications, regulatory submissions, research, and reports
Reviewing marketing materials, policies, and procedures for compliance
Providing compliance advice to various departments
Assisting in audits, investigations, and regulator inquiries
Managing compliance and reputational risks
Qualifications
To qualify:
1-5 years of regulatory compliance experience in financial services
Knowledge of Singapore financial regulations
Willingness to collaborate with regulators, banks, and law firms
Preferred:
Product knowledge of derivatives, commodities, options, FX, CFDs
Experience in brokerage or financial services firms
Attention to detail, proactive problem solver
Team player with an agile mindset
Education/Certification:
Degree in accounting, business, finance, law, or related fields
Professional compliance certification is advantageous
Working Environment:
Hybrid (1-day WFH)
Knowledge-sharing and mentoring sessions
No travel required
Seniority level
Mid-Senior level
Employment type
Contract
Job function
Legal
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