Compliance Associate

3 days ago

Singapore StoneX Group Full time

Compliance Associate - Monitoring APAC

**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

Job ID 11487

  • Associate/ Senior Associate, Regulatory Compliance

    2 days ago

    Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full time

    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 - Periodic compliance reporting to senior management or board of directors - Provide or review compliance manual - Provide or review compliance checklists, registers,...

  • Associate, Regulatory Compliance

    4 weeks ago

    Singapore IQ-EQ Full time

    Overview Associate, Regulatory Compliance (Ongoing Compliance Services) – Singapore Responsibilities Set up the compliance function for clients who are MAS-regulated, including design of compliance manual and monitoring program tailored to the client's business circumstances Advise clients on ongoing regulatory compliance requirements and be responsible...

  • COMPLIANCE ASSOCIATE, APAC

    2 weeks ago

    Singapore 360 Treasury Systems AG Full time

    As 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...

  • Compliance Associate

    7 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** -...

  • COMPLIANCE ASSOCIATE, APAC

    2 weeks 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

    4 weeks ago

    Singapore Klay Full time

    Overview Purpose of this role: Strengthen the firm's compliance function by ensuring adherence to regulatory requirements set by the Monetary Authority of Singapore. This role supports the implementation and maintenance of robust compliance frameworks, conducts routine monitoring and reviews, and assists in regulatory reporting and audits. Responsibilities...

  • Associate / Senior Associate - Compliance

    7 days ago

    Singapore CAPITAL GOVERNANCE (S) PTE. LTD. Full time

    We invite highly motivated professionals with relevant experience to join our team as **Compliance Associate / Senior.** As part of our compliance team, you will provide a comprehensive range of Governance, Risk management and Compliance (GRC) solutions aimed at assisting our clients in enhancing their overall GRC capabilities. - To support us in project...

  • Compliance Associate/ Regulatory Compliance

    1 week ago

    Singapore KS CONSULTING PTE. LTD. Full time

    About the Role We are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role in...

  • Compliance Associate/ Regulatory Compliance

    2 days ago

    Singapore KS CONSULTING PTE. LTD. Full time $60,000 - $120,000 per year

    About the RoleWe are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role in...

  • Wb Asia Compliance Associate

    7 days ago

    Singapore ING Full time

    Compliance Associate sought to assist the Wholesale Banking Asia Conduct Compliance and Culture (CCC) team, which focuses on managing risks relating to those arising from Market Conduct, Conflicts of Interest, Unfair Customer Treatment, Anti-Competitive Conduct, Data Protection, Data Retention, Regulatory Registration and Licensing.