Compliance Associate

5 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

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