Regulatory Compliance Senior Manager, APAC

Overview

Class: Full-time and Permanent

Legal Entity: StoneX Financial Pte Ltd

Organization: StoneX Financial Pte Ltd

Reports 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, 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.  This role at StoneX will manage business, regulatory compliance and reputational risks by ensuring adherence to laws and regulations, updating policies and procedures to comply with regulatory changes, advising businesses and senior management, managing audits and inquiries, conducting training and compliance testing. 

Primary duties will include: 

• Provide business and regulatory compliance advice and guidance to business units and senior management
• Update policies, procedures and controls to meet regulatory requirements of MAS, MinLaw, SGX-DT, SGX-DC and regulators in APAC
• Supervise licensing, regulatory change management, complaints handling, compliance monitoring, conflict of interests management, cross-border marketing, market abuse, outsourcing, training and management reporting
• Advising on business expansion, innovative products, customer transactions and regulatory issues in APAC
• Perform compliance risk assessment and ensure effective measures are in place to identify, assess and mitigate risks
• Assist in audits, investigations and responding to queries from regulators and exchanges
• Participate in strategic projects to upgrade digital platforms

*This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

Qualifications

To land this role you will need: 

• Minimum 7 years of experience in regulatory compliance in financial services and/or regulatory environment
• Work experience in audit firms, banks, brokerages or financial services firms
• Knowledge of MAS regulations, SGX-DT rules and best practices

What makes you stand out:  

• Attention to detail, pro-active, hands-on approach to problem solving
• Agile mindset, collaborative and trustworthy team player
• Familiarity with compliance systems is advantageous

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

#LI-Hybrid#LI-KV1