Senior Compliance Analyst

Abaxx is looking for a member to join the Market Regulation Team. The team is responsible for carrying out supervisory and compliance processes relating to new membership onboarding, member supervision (ongoing reviews and on-site inspections), market surveillance, and regulatory compliance, across the Exchange and Clearing House.

Responsibilities:

• Implement various policies and procedures under the purview of Market Regulation Department, relating to membership onboarding, member supervision, market surveillance, anti-money laundering and regulatory compliance.


• Conduct due diligence on new membership applicants and prepare membership approval memorandum.


• Perform reviews of member submissions and notifications, carry out periodic on-site inspections of members, and provide support for the disciplinary and enforcement processes of the Exchange and Clearing House (as necessary).


• Conduct day-to-day reviews of market surveillance alerts; assist in the development/refinement of surveillance processes and systems.


• Monitor Abaxx entities’ compliance with regulatory requirements and implement the necessary compliance risk management processes and policies, including to conduct compliance training, provide regulatory compliance advisory, perform compliance testing/assurance, provide updates and analysis on regulatory developments and consultations, and provide general liaison with MAS.


• Work closely and build relationships with various internal and external stakeholders, including Operations/Technology/Risk teams, members as well as MAS.


• Any other tasks as assigned by the Chief Regulatory Officer.

Requirements:

• Degree in Finance, Accountancy, Business or a related discipline


• Minimum 3-5 years of relevant work experience, preferably in the capital markets space and/or possess general familiarity with the operations of brokerages, exchanges and clearing houses.


• Prior experience in trade surveillance, member supervision or general compliance will be advantageous.


• Familiar with Securities and Futures Act and related regulatory requirements issued by MAS.


• Display strong skillsets in problem-solving, data analysis, verbal and written communication, planning and presentation.


• Strong team player who works well in cross-functional teams and willing to develop good working relationships with internal and external stakeholders.

We also welcome applications from candidates with less experience, who may be considered for an Analyst role based on their qualifications and potential.