Compliance Associate

3 days ago

Singapore StoneX Group Full time

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
- 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

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

  • Compliance Associate

    2 weeks ago

    Singapore THE EDGE PARTNERSHIP HOLDINGS PTE. LTD. Full time

    Our client is a multi-product investment service firm for investors worldwide, with offices across APAC. **Role Overview** - Oversee the implementation and ongoing execution of the Compliance Program across the Optimas Group, covering Regulatory, Investment, and AML/CFT (Anti-Money Laundering/Countering the Financing of Terrorism) frameworks. - Ensure the...

  • Compliance, Associate

    2 weeks ago

    Singapore ICONIQ CAPITAL (SINGAPORE) PTE. LTD. Full time

    **About ICONIQ Capital** ICONIQ Capital is a global investment firm elevated by an extraordinary community. With over $80B assets under management, we seek to build resilient investment portfolios, partner with inspired entrepreneurs transforming industries, manage our clients’ lives and legacies, and create uncommon opportunities across sectors and...

  • Product Compliance Associate

    2 weeks ago

    Singapore Secretlab Full time

    Direct message the job poster from Secretlab Secretlab is an international gaming chair brand seating over three million users worldwide, with our key markets in the United States, Europe and Singapore, where we are headquartered. You will be a valued member in our award-winning Product team, responsible for creating products for consumers across over 60...

  • Associate/ Senior Associate, Regulatory Compliance

    20 hours ago

    Singapore Polymath Search Full time

    Associate/ Senior Associate, Regulatory Compliance – Global Consulting Firm | Singapore Associate/ Senior Associate, Regulatory Compliance – Global Consulting Firm | Singapore Direct message the job poster from Polymath Search Associate/ Senior Associate, Regulatory Compliance – Global Consulting Firm | Singapore Polymath Search is partnering with a...

  • compliance associate, apac

    21 hours ago

    Singapore 360T Full time

    Join 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 Associate

    4 days ago

    Singapore MOOLAHGO PTE. LTD. Full time

    **Job Summary**: We are seeking a detail-oriented and motivated Compliance Associate to support our compliance team in ensuring the organization operates in accordance with legal and regulatory requirements. This entry-level role is ideal for recent graduates or individuals early in their compliance. **Key Responsibilities**: **CUSTOMER DUE DILIGENCE** -...

  • Financial Crime Compliance Associate

    20 hours ago

    Singapore Unison Consulting Full time

    2 days ago Be among the first 25 applicants Job Description & Requirements Key Responsibilities Gather and analyse business requirements related to AML / KYC processes, including Name Screening, Source of Wealth (SoW), and Transaction Monitoring. Collaborate with stakeholders across Compliance, Operations, and IT to define functional specifications and...

  • compliance associate, apac

    22 hours ago

    Singapore 360 Treasury Systems AG Full time

    As aCompliance 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 ...

  • Compliance Associate

    2 weeks ago

    Singapore BLOCKCHAIN (SINGAPORE) PTE. LTD. Full time

    is the world's leading software platform for digital assets. Offering the largest production blockchain platform in the world, we share the passion to code, create, and ultimately build an open, accessible and fair financial future, one piece of software at a time. We are looking for an experienced and diligent Compliance Associate to support the...

  • Associate, Compliance

    21 hours ago

    Singapore Brookfield Full time

    Associate, Compliance - Legal & Regulatory page is loaded Associate, Compliance - Legal & Regulatory Apply locations Singapore time type Full time posted on Posted 30+ Days Ago job requisition id R Location Singapore - 138 Market Street, CapitaGreen, #32 01 Brookfield Culture Brookfield has a unique and dynamic culture. We seek team members who have...