Compliance Associate

6 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

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