Member Supervision & Regulatory Compliance

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

1. 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

1. 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

1. 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.