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

StoneX Group Inc.; Singapore; Hybrid; SGD 120,000 - 180,000; Full time

Job summary

StoneX Group Inc. in Singapore seeks a Compliance professional to manage APAC market surveillance and exchange membership duties, ensuring adherence to laws and responding to inquiries from exchanges and auditors.

You will update policies in response to rule changes, advise business desks on licensing and regulatory topics, and collaborate with regional and global Compliance teams to strengthen controls. Candidates should have 1–5 years’ experience in market surveillance and a university degree

Qualifications

• 1–5 years of market surveillance and exchange membership supervision experience.
• Experience in an exchange is strongly preferred.
• Experience in securities/derivatives departments in financial services firms.
• Familiarity with trade surveillance systems such as One Tick.
• Experience trading securities and/or derivatives.
• University degree in accounting, business, finance, or law.

Responsibilities

• Review trade surveillance alerts to detect market misconduct and breaches of exchange trading rules.
• Assist in audits and inquiries from exchanges and auditors.
• Monitor changes in exchange rules and update policies and controls.
• Provide compliance advice to business desks on licensing and regulatory topics.
• Conduct compliance reviews and monitoring on marketing, customer complaints, conflicts of interest, outsourcing and regulatory reporting.
• Collaborate with regional and global Compliance teams.

Skills

Market surveillance

Exchange membership supervision

Regulatory awareness

Education

University Degree in accounting, business, finance, law

Tools

One Tick

Job description

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 5,4 0 0 + employees and over 80,000 institutional, commercial, and payment s clients, we operate from more than 8 0 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