Senior Associate, Regulatory Compliance, APAC

4 days ago

Singapur, Singapore StoneX Group Inc. Full time
Senior Associate, Regulatory Compliance, APAC

Join to apply for the Senior Associate, Regulatory Compliance, APAC role at StoneX Group Inc.

Senior Associate, Regulatory Compliance, APAC

2 weeks ago Be among the first 25 applicants

Join to apply for the Senior Associate, Regulatory Compliance, APAC role at StoneX Group Inc.

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Company Overview:

Connecting clients to markets – and talent to opportunity
With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets with a focus on innovation, human connection, and world-class products and services.

Overview

  • Class: Full-time AND Permanent
  • Legal Entity: StoneX Financial Pte. Ltd
  • Organization: StoneX Financial Pte. Ltd
  • Report to: Head of Compliance, APAC

Business Segment Overview

Corporate: Engage in strategic marketing, financial management, human resources, and operational oversight to optimize processes and policies.

Responsibilities

Position Purpose: In Singapore, StoneX is regulated by MAS, MinLaw, SGX, and SFC for various financial and trading activities. This role manages regulatory compliance and reputational risks by ensuring adherence to laws and regulations, advising on business activities, updating policies, managing audits, and conducting compliance reviews.

Primary duties include:

  • Advising businesses (Derivatives, Securities, Retail CFDs)
  • Conducting compliance reviews, testings, and trade surveillance
  • Preparing licensing applications, regulatory submissions, research, and reports
  • Reviewing marketing materials, policies, and procedures for compliance
  • Providing compliance advice to various departments
  • Assisting in audits, investigations, and regulator inquiries
  • Managing compliance and reputational risks

Qualifications

To qualify:

  • 1-5 years of regulatory compliance experience in financial services
  • Knowledge of Singapore financial regulations
  • Willingness to collaborate with regulators, banks, and law firms

Preferred:

  • Product knowledge of derivatives, commodities, options, FX, CFDs
  • Experience in brokerage or financial services firms
  • Attention to detail, proactive problem solver
  • Team player with an agile mindset

Education/Certification:

  • Degree in accounting, business, finance, law, or related fields
  • Professional compliance certification is advantageous

Working Environment:

  • Hybrid (1-day WFH)
  • Knowledge-sharing and mentoring sessions
  • No travel required
Seniority level
  • Mid-Senior level
Employment type
  • Contract
Job function
  • Legal
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