Senior Associate, Regulatory Compliance, APAC

Overview

Class: Full-time AND Permanent

Legal Entity: StoneX Financial Pte. Ltd

Organization: StoneX Financial Pte. Ltd

Report to: Head of Compliance, APAC

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 spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.  

At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, you'll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support, and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance.

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.

Responsibilities

Position Purpose:

In Singapore, StoneX is regulated by MAS as a Capital Markets Service Licensee (for dealing in capital markets product), an Exempt Financial Adviser and a Major Payment Institution, and by MinLaw as a Registered Dealer of Precious Stones and Metals.  StoneX is also a Trading Member of SGX-DT and a Clearing Member of SGX-DC.  In Hong Kong, StoneX is regulated by SFC for Dealing in Securities and in Futures Contracts. 

This expansion role at StoneX will manage regulatory compliance and reputational risks by ensuring adherence to laws and regulations, advising businesses (such as Derivatives, Retail CFDs, etc), updating policies and procedures to comply with regulatory requirements, managing audits and inquiries, and conducting compliance reviews and testings.

Primary duties will include: 

• Advise businesses (such as Derivatives, Securities, Retail CFDs)
• Conduct compliance reviews, compliance testings, and trade surveillance related to the businesses
• Prepare licensing applications, regulatory submissions, regulatory research, management information and compliance reports
• Review marketing materials, regulatory changes, fit and proper criteria, as well as policies and procedures to comply with regulatory requirements
• Provide compliance advice to front, middle and back offices (e.g. Business, Finance, HR, Operations, Risk) on various regulatory topics
• Assist in audits, investigations and queries from regulators and exchanges
• Manage compliance and reputational risks by ensuring adherence to laws and regulations

Qualifications

To land this role you will need: 

• 1 to 5 years of experience in regulatory compliance in financial services or regulatory environment
• Working knowledge of Singapore regulations on financial services
• Willingness to work with team members formerly from Singapore regulators, local and international banks and law firms.

What makes you stand out:  

• Product knowledge of derivatives (OTC and ETD), commodities, options, leveraged FX and CFDs, including compliance testing and trade surveillance on these products
• Work experience in brokerage arms of banks or financial services firms
• Attention to detail, pro-active, hands-on approach to problem solving
• Agile mindset, collaborative and trustworthy team player

 Education / Certification Requirements:

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

Working environment:

• Hybrid (1-day WFH)
• Regular knowledge-sharing meetings and mentoring sessions
• No travel requirements

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