Senior Compliance Analyst - Market Regulation

About the role

Abaxx is looking for a Senior Compliance Analyst to join its Market Regulation Team in Singapore. The team carries out supervisory and compliance processes covering new membership onboarding, ongoing member supervision and on-site inspections, market surveillance and regulatory compliance, across the Exchange and Clearing House.

Key responsibilities

• Implement policies and procedures for membership onboarding, member supervision, market surveillance, anti-money laundering and regulatory compliance.
• Conduct due diligence on new membership applicants and prepare membership approval memoranda.
• Review member submissions and notifications, carry out periodic on-site inspections and support disciplinary and enforcement processes.
• Review market surveillance alerts daily and help refine surveillance processes and systems.
• Monitor regulatory compliance, run compliance testing and assurance, advise on regulatory developments, liaise with MAS and train staff.
• Build relationships with internal and external stakeholders, including Operations, Technology, Risk teams, members and MAS.

Required profile

• Degree in Finance, Accountancy, Business or a related discipline.
• Minimum 3-5 years of relevant experience, preferably in capital markets, brokerages, exchanges or clearing houses.
• Prior experience in trade surveillance, member supervision or general compliance is advantageous.
• Familiarity with the Securities and Futures Act and MAS regulations.
• Strong problem-solving, data analysis, communication and presentation skills.
• Team player comfortable in cross-functional settings.

Candidates with less experience may be considered for an Analyst role depending on qualifications and potential.