Manager, Financial Crime Compliance, APAC

Overview

Class: Full-time and Permanent

Legal Entity: StoneX Financial Pte Ltd

Organization: StoneX Financial Pte Ltd

Reports to: Head of Compliance, APAC

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 expansion role at StoneX will manage financial crime compliance 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, and supervising trade surveillance and compliance testing.

Primary duties will include:

• Provide financial crime compliance (FCC) advice and guidance to senior management and business units
• Collaborate with Businesses (e.g. global payments, precious metals), Risk, Legal, Technology, Auditors, Regulators and overseas offices, and manage a team of two FCC specialists
• Update policies, procedures and controls to meet regulatory requirements on AML, CFT, sanctions, anti-bribery & corruption in Singapore and internationally
• Supervise enhanced CDD, vendor and transactional DD, financial crime list management, name-screening, transaction monitoring, management reporting and trade surveillance
• Monitor high-risk transactions and customer activities through a risk-based approach, and investigate potential suspicious transactions with filing of STRs
• Perform enterprise-wide AML/CFT/Sanctions risk assessment and ensure effective measures are in place to identify, assess and mitigate risks in APAC
• Assist in audits, investigations and responding to queries from regulators and exchanges
• Participate in strategic FCC projects to upgrade digital platforms and implement technology solutions

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 financial crime compliance in financial services or regulatory environment
• Work experience in audit firms, banks, brokerages or financial services firms
• Knowledge of MAS regulations, MinLaw regulations, FATF standards and best practices in financial crime compliance

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, trade surveillance and transaction monitoring systems is advantageous (e.g. ComplySci, Global Relay, Nasdaq Smarts, One Tick, ThetaRay, Nice Actimise)

Education / Certification Requirements:

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

Working environment:

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

#LI-Hybrid #LI-KV1