Jobs

    Member Supervision Regulatory Compliance - Singapore - ASIA PACIFIC EXCHANGE PTE. LTD.

    ASIA PACIFIC EXCHANGE PTE. LTD.
    ASIA PACIFIC EXCHANGE PTE. LTD. Singapore

    2 days ago

    Default job background
    Description
    Roles & Responsibilities

    The candidate will support the Legal, Regulatory and Compliance Department ("LCD") and reports to the Chief Regulatory Officer.

    Key Duties and Responsibilities:

    1) Member Supervision

    a) Lead APEX's supervision of members to ensure that they are fulfilling their obligations under the APEX Trading and Clearing Rulebooks.

    b) Review and strengthen frameworks, policies and procedures for member supervision

    c) Monitor members on their compliance with the relevant Trading and Clearing Rules, and carry out

    disciplinary actions if necessary.

    d) Perform relevant processes under the APEX Trading Procedures and Clearing Procedures, which include:

    (i) Member admission, onboarding and resignation

    (ii) Review of regular financial returns and ad-hoc notifications

    (iii) Prepare and conduct off-site reviews and on-site inspections

    2) Regulatory Compliance

    a) Develop and strengthen the compliance culture in APEX and related entities

    b) Review and implement policies and procedures to monitor and enhance APEX's internal controls

    c) Ensure APEX's compliance with regulatory obligations under the Securities and Futures Act, and related regulations, including, but not limited to, submission of regulatory returns, assessment of potential

    non-compliance and breaches, and supporting departments in their compliance needs.

    d) Maintain effective communications and relationships with APEX's regulators, such as the Monetary Authority of Singapore

    3) Support other functions undertaken by LCD if necessary, including corporate secretariat.

    Requirements:

    • University degree in Accountancy from reputable institutions. Other relevant degrees may be considered.
    • 5 years or more relevant working experience in a global audit firm, preferably with clients in the financial services industry.
    • Motivated self-starter and able to produce quality work under pressure.
    • Meticulous and detail-oriented, with ability to multi-task and manage multiple projects at once.
    Tell employers what skills you have

    Ability to Multitask
    Licensing
    Internal Investigations
    Microsoft Office
    Microsoft Excel
    Derivatives
    Regulatory Compliance
    Literacy
    Interpersonal Skills
    Derivatives Trading
    Surveillance
    Compliance
    Writing
    Team Player
    Communications
    Regulatory Requirements
    Audit
    Financial Services
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