Senior Compliance Officer, Financial Crime Prevention, APAC

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. 

In Singapore, StoneX is regulated by MAS as a Capital Markets Service Licensee (for Dealing in Capital Market Products), an Exempt Financial Adviser (for Advising on Investment Products and Issuing or Promulgating Analyses/Reports on Investments Products) and a Major Payment Institution (for Domestic and Cross Border Money Transfer Services), and by MinLaw as a Registered Dealer of Precious Stones and Metals. 

In Singapore, StoneX is a trading member of Singapore Exchange Derivatives Trading (SGX-DT) and a clearing member of Singapore Exchange Derivatives Clearing (SGX-DC).  It is also a trading and clearing member of Abaxx Exchange. 

This role at StoneX will implement financial crime prevention (FCP) in Singapore and APAC by ensuring adherence to laws and regulations, conducting and advising on KYC/CDD/EDD/Sanctions/ABC, name-screening, FCP transaction monitoring, and investigations, monitoring regulatory changes, conducting FCP compliance reviews, monitoring and testing, and handling inquiries from exchanges, auditors and regulators. 

• Advise/conduct enhanced CDD enhanced CDD during initial onboarding, periodic review and trigger events, vendor and transactional DD, SOW/SOF and UBO analysis, PEP, adverse media screening, AML/CFT/PF/AB&C/Sanctions transaction monitoring, financial crime list management, STR drafting and management reporting
• Provide financial crime prevention (FCP) advice to business units involving Precious Metals, Securities & Derivatives, Cross-Border & Domestic Money Transfer Service, Account Issuance Service, Digital Payment Token Service, etc
• Review transactions and customer activities using a risk-based approach, investigate potential suspicious transactions and prepare STRs
• Conduct AML/CFT Transaction Monitoring (on Derivatives, Securities, CFDs, Global Payments and/or Precious Metals transactions), Sanctions Screening and Communications Surveillance
• Conduct FCP Compliance Testing as part of Compliance Monitoring Program
• Assist to update policies, procedures and controls to meet regulatory requirements on AML, CFT, PF, sanctions, anti-bribery & corruption
• Assist in audits, investigations and responding to queries from regulators and exchanges on FCP matters
• Assist with Enterprise-Wide AML/CFT/PF/AB&C/Sanctions Risk Assessment and ensure effective measures are in place to identify, assess and mitigate risks
• Assist in strategic digital projects to upgrade FCP systems and platforms, provide inputs on rule design & logic, activity typologies, threshold calibration, UAT and production rollout

• 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 KYC/ EDD/ AML/ CFT/ Sanctions/ AB&C expertise in financial services
• Knowledge of MAS Notices and Guidelines on Prevention of Money Laundering and Countering the Financing of Terrorism, Payment Services Act & Regulations, FATF Recommendations
• Work experience from banks, major payment institutions, brokerages or financial services firms
• Willingness to collaborate with team members formerly from Singapore regulators, banks and professional services firms

• Attention to detail and pro-active approach to problem solving
• Agile mindset, collaborative and trustworthy team player
• Familiarity with FCP systems (e.g. Nice Actimise, ThetaRay, One Tick, World Check One, ComplySci)

• 4 days in office, 1 day remote

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.