Associate/ Senior Associate, Financial Crime Compliance

Overview

Class: Full-time AND Permanent

Legal Entity: StoneX Financial Pte. Ltd.

Reporting 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 implement financial crime compliance in APAC by ensuring adherence to laws and regulations, conducting and advising on KYC/CDD/EDD, name-screening, transaction monitoring, monitoring regulatory changes, conducting compliance reviews, monitoring and testing, and handling inquiries from exchanges, auditors and regulators.

Primary duties will include:

• Conduct enhanced CDD, vendor and transactional DD, name-screening, transaction monitoring, financial crime list management, and management reporting
• Provide financial crime compliance (FCC) advice to business units
• Review transactions and customer activities using a risk-based approach, investigate potential suspicious transactions and file STRs
• Conduct AML/CFT Transaction Monitoring (on Derivatives, Securities, CFDs and Precious Metals transactions), Sanctions Screening and Communications Surveillance
• Conduct Compliance Testing as part of Compliance Monitoring Program
• Assist to update policies, procedures and controls to meet regulatory requirements on AML, CFT, sanctions, anti-bribery & corruption
• Assist in audits, investigations and responding to queries from regulators and exchanges
• Assist on enterprise-wide AML/CFT/Sanctions risk assessment and ensure effective measures are in place to identify, assess and mitigate risks
• Participate in strategic digital projects to upgrade compliance systems and platforms

Qualifications

To land this role you will need:

• University Degree in accounting, business, finance, law or related fields
• Professional certification in financial crime compliance is advantageous
• At least 2 to 5 years of experience in financial crime compliance and KYC/AML/CFT in financial services
• Knowledge of MAS Notices and Guidelines on Prevention of Money Laundering and Countering the Financing of Terrorism
• Work experience from banks, brokerages or financial services firms
• Willingness to work with team members formerly from Singapore regulators, banks and professional services firms

Working environment:

• 4 days in office, 1 day remote