Head of Compliance, Apac

4 days ago

Singapore StoneX Group Full time

Overview:
**Job purpose**:
We are looking for a dynamic, experienced compliance professional to play a key role in supporting the development of StoneX’s businesses in Asia Pacific out of our regional headquarters in Singapore.

**Responsibilities**:
**General Duties**:

- Lead in reviewing, implementing, and maintaining robust compliance and AML risk management procedures according to MAS/SFC rules, spanning Capital Markets Services, Payment Services Act and SGX requirements as well as any other applicable regional regulations
- Reportings for any Entreprise Singapore (“ES”) oversight in OTC products
- Review, implement and maintain a robust regulatory reporting regime in relation to any licences or exemptions maintained by the Group in APAC
- Lead in the development and/or maintenance of robust compliance manuals and operating procedures
- Assist in the management and delivery of compliance projects and monitoring programmes
- Managing internal and external compliance audits
- Provide advice to the business on compliance implications arising from business requirements, business changes (e.g. new products and activities) and/or regulatory changes
- Promote awareness of compliance in StoneX’s APAC offices and provide compliance training to our regional staff
- Provide oversight of the Group’s Hong Kong based, SFC regulated entity, StoneX Financial (HK) Ltd as well as our legal entities in China, Japan and Australia (Japanese and Australian entities employ Local Heads of Compliance teams who will report into this role).
- Manage and develop the local compliance team in Singapore and across Asia
- Working together with local team members,
- Review and update KYC profiles for existing clients and conduct CDD for new clients in adherence to review schedules
- Perform transaction monitoring of payments against global sanctions’ and related watchlists.
- Provide support to the Global Payments team for screening amended payment instructions and other ad-hoc tasks
- Perform monitoring and surveillance as required under relevant compliance policies

Qualifications:
**Knowledge and Experience**
- Experience of dealing with regulators and industry bodies such as MAS, SGX, FIDReC
- Experience with SFC/ASIC/JFSA an advantage
- 7-10 years governance, (operational) risk management and/or compliance management experience within Singapore in a similar financial services environment.

**Qualification and Skills**:
**Qualifications**
- Tertiary qualification(s) in business, law or a related field
- Advanced Microsoft Outlook/Word/Excel/PowerPoint Skills

**Skills**
- Ability to work independently but also as part of a local as well as international team
- Strong relationship building and communications skills
- Effective planning, organisational and time management skills
- Ability to analyse problems and deliver effective solutions in a timely manner
- Ability to formulate independent opinions/assessments on regulatory advisory matters (+other) prior to seeking external assistance
- Ability to lead and motivate positively local and international Compliance teams

**Direct Report(s)**: Team of 9 Compliance staff in Singapore including experienced Monitoring and Onboarding leads and team members. Head of Compliance, Australia and Head of Compliance, Japan report up to this role but operate with a high degree of independence in their respective jurisdictions.

**Reports To**: CEO, Asia Pacific

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