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Open nowPosted 5 days ago

Member Supervision & Regulatory Compliance

ASIA PACIFIC EXCHANGE PTE. LTD.

Pay
SGD 4,500 – SGD 6,500 a month
Where
Central, Singapore
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Your applicationOpen nowMember Supervision & Regulatory ComplianceASIA PACIFIC EXCHANGE PTE. LTD. · Central, Singapore
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  5. 35.6%30 days
  6. 58.1%60 days
This job: posted 5 days ago

The posting

Key Duties and Responsibilities

1) Member Supervision

  • Lead APEX’s supervision of members to ensure that they are fulfilling their obligations under the APEX Trading and Clearing Rulebooks.
  • Review and strengthen frameworks, policies and procedures for member supervision
  • Monitor members on their compliance with the relevant Trading and Clearing Rules, and carry out disciplinary actions if necessary.
  • Perform relevant processes under the APEX Trading Procedures and Clearing Procedures, which include: (i) Member admission, onboarding and resignation (ii) Review of regular financial return and ad-hoc notifications (iii) Prepare and conduct off-site review and on-site inspections

2) Regulatory Compliance

  • Develop and strengthen the compliance culture in APEX and related entities
  • Review and implement policies and procedures to monitor and enhance APEX’s internal controls
  • 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.
  • Maintain effective communications and relationships with APEX’s regulators, such as the Monetary Authority of Singapore
  • Act as Data Protection Officer for APEX and related entities

3) Corporate Governance

  • Review and implement processes and procedures to strengthen APEX’s internal governance
  • Assist the Corporate Secretary in matters related to corporate governance and the Board of directors
  • Maintain effective communications and relationships with APEX’s shareholders and the Board of directors

4) Support other functions undertaken by LCD if necessary.

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.

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