Senior Associate, Regulatory Compliance, APAC
7 hours ago
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. Get AI-powered advice on this job and more exclusive features. 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 #J-18808-Ljbffr
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Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full timeManage a portfolio of clients - Provide advisory and consultancy services to clients - Submit and/or review of regulatory filings and notifications - Liaise and correspond with MAS and auditors - Periodic compliance reporting to senior management or board of directors - Provide or review compliance manual - Provide or review compliance checklists, registers,...
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COMPLIANCE ASSOCIATE, APAC
7 hours ago
Singapore 360T Full timeJoin to apply for the COMPLIANCE ASSOCIATE, APAC role at 360T Join to apply for the COMPLIANCE ASSOCIATE, APAC role at 360T Get AI-powered advice on this job and more exclusive features. Your Role As a Your Role As a Compliance Associate, APAC based in Singapore, you will be part of the Global Compliance Department and you will support the Chief Compliance...
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Compliance Manager
1 week ago
Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full time**Position Summary**: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the...
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COMPLIANCE ASSOCIATE, APAC
7 hours ago
Singapore 360 Treasury Systems AG Full timeAs a Compliance Associate, APAC based in Singapore, you will be part of the Global Compliance Department and you will support the Chief Compliance Officer (CCO) of 360T APAC. Your Responsibilities Compliance Management of 360T Singapore; including RMO trading venue Knowledge of Singapore and other regulatory frameworks Knowledge of MAS systems Preparing and...
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Director, Regulatory Compliance, Apac
2 weeks ago
Singapore Airwallex Full time**About Airwallex** Airwallex is the only unified payments and financial platform for global businesses. Powered by our unique combination of proprietary infrastructure and software, we empower over 100,000 businesses worldwide - including Brex, Rippling, Navan, Qantas, SHEIN and many more - with fully integrated solutions to manage everything from business...
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Senior Associate, Regulatory Compliance
4 days ago
Singapore IQ-EQ Full timeSenior Associate, Regulatory Compliance (Ongoing Compliance Services)Join to apply for the Senior Associate, Regulatory Compliance (Ongoing Compliance Services)role at IQ-EQ Company Description IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global...
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Associate - Compliance, Policy & Regulatory
7 hours ago
Singapore Mizuho Full timeAssociate - Compliance, Policy & Regulatory Join to apply for the Associate - Compliance, Policy & Regulatory role at Mizuho . Role Responsibilities Manage regulatory relationships through proactive engagement and maintain good working relationships with regulators. Handle all regulatory requests, inquiries, and examinations by coordinating with internal...
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Senior Associate, Regulatory Compliance
1 week ago
Singapore IQ-EQ Group Full timeHome Vacancies Senior Associate, Regulatory Compliance (Ongoing Compliance Services)Senior Associate, Regulatory Compliance (Ongoing Compliance Services)Job Description Manage a portfolio of clients Provide advisory and consultancy services to clients Submit and/or review of regulatory filings and notifications Liaise and correspond with MAS and auditors...
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Regulatory Compliance Engineer
2 days ago
Singapore Tesla Full timeRegulatory Compliance Engineer – Codes, Standards and Regulatory Development – APAC region The Role: Tesla, Inc. produces leading-edge technology, world-class designs, and state-of-the-art manufacturing processes to create a new generation of electric vehicle charging products. We are building a technically strong, fast-moving team that prides itself on...
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Senior Associate, Regulatory Compliance
4 days ago
Singapore IQ-EQ Group Full timeSenior Associate, Regulatory Compliance (Ongoing Compliance Services)Join to apply for the Senior Associate, Regulatory Compliance (Ongoing Compliance Services)role at IQ-EQ Company Description IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global...
