Associate/ Senior Associate, Trade Surveillance & Exchange Compliance, APAC

Overview

Class: Full-time AND Permanent

 

Legal Entity: StoneX Financial Pte. Ltd.

 

Report to: Head of Compliance, APAC

 

Company Overview:

 

Connecting clients to markets – and talent to opportunity.  With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.  Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth. 

 

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:

 

This role at StoneX will manage exchange compliance and trade surveillance in APAC by ensuring adherence to laws and regulations, managing inquiries from exchanges and audits, advising businesses and management, and conducting compliance review and monitoring. 

 

Primary duties will include: 

 

• Review trade surveillance alerts generated from unusual activities in the securities and derivatives markets (such as price movements and trading volumes) to detect market misconduct and breaches of exchange trading rules
• Assist in audits and inquiries from exchanges (e.g. SGX, CME, LME) and auditors
• Monitor changes in exchange rules (e.g. SGX-DT, SGX-DC), and update policies, procedures and controls to implement changes
• Provide compliance advice to business desks (such as Derivatives, Securities, Commodities) and support functions (such as Finance, HR, Operations) on various compliance topics, including licensing of individuals with exchanges and regulators
• Conduct compliance review and monitoring on various topics such as marketing materials (including cross-border activities), customer complaints, conflict of interests, outsourcing and regulatory reporting
• Collaborate with regional and global Compliance teams

Qualifications

To land this role you will need:

 

• At least 1 to 5 years of experience in market surveillance and exchange membership supervision, with knowledge of exchange requirements and market abuse risks
• Work experience in an exchange (past or present) is strongly preferred
• Work experience in securities/ derivatives departments in financial services firms
• Familiarity with trade surveillance system such as One Tick
• Experience in trading securities and/or derivatives
• University Degree in accounting, business, finance, law or related fields

Working environment:

• 4 days in office, 1 day remote

 

#LI-Hybrid #LI-KV1

 

 

Notice to Recruitment Agencies:

  

Please be advised that any résumé or CV submitted to us without: (i) prior onboarding with StoneX as an approved recruitment partner; and (ii) prior written authorization/instruction from StoneX’s Talent Acquisition Team, will be treated as an unsolicited and unapproved submission. 

  

We may, at our discretion, review and consider such candidates; however, no placement fee, referral fee, or any other form of compensation will be payable to the submitting agency if the candidate is subsequently hired, and regardless of the agency’s involvement. 

  

Submission of a résumé/CV in these circumstances will be deemed acceptance of these terms and these terms supersede any the agency seeks to impose on StoneX.