Conduct market regulation and compliance activities across exchange and clearing-house operations, including membership due diligence, member supervision, on-site inspections, market surveillance alert reviews, AML compliance, regulatory testing, training, advisory support, and liaison with MAS. The role also supports enforcement processes, develops compliance procedures, analyzes regulatory developments, and collaborates with internal and external stakeholders.
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.
Abaxx Technologies Inc. Singapore Office
Similar Jobs
Fintech • Financial Services
Oversee portfolio implementation and compliance across investment strategies. Coordinate restructures, cash flows, trade lists, vehicle optimization, portfolio operations, compliance alerts, approvals, and risk controls. Partner with investment officers, strategy management, trading, legal, client teams, and other stakeholders. Analyze discrepancies, support launches and conversions, respond to client requests, develop reports, document business requirements, and contribute to process and technology improvements.
Top Skills:
Capital System
Information Technology • Consulting
Provides business analysis and consulting services for banking regulatory compliance, financial crime compliance, AML, and KYC initiatives. Automates manual processes, analyzes business-process inefficiencies, translates requirements into detailed documentation, and develops well-defined user stories for technical delivery. Builds client relationships, manages stakeholders, drives risk initiatives across functions, and applies project-management practices. Familiarity with Actimize or NetReveal is preferred, along with understanding of AI and emerging technologies.
Top Skills:
ActimizeArtificial IntelligenceNetreveal
Insurance • Financial Services
Lead AML systems strategy, governance, operations and projects. Act as SME between Compliance, Business and Technology to ensure AML systems meet MAS AML/CFT rules, manage BAU support, vendor relationships, data/model governance and oversee AI-enabled compliance solutions, testing, tuning, and regulatory remediation.
Top Skills:
Advanced AnalyticsAi/MlDow JonesLexisnexisNice Actimize
What you need to know about the Singapore Tech Scene
The digital revolution has driven a constant demand for tech professionals across industries like software development, data analytics and cybersecurity. In Singapore, one of the largest cities in Southeast Asia, the demand for tech talent is so high that the government continues to invest millions into programs designed to develop a talent pipeline directly from universities while also scaling efforts in pre-employment training and mid-career upskilling to expand and elevate its workforce.
