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.
