Senior Compliance Officer

1 week ago

Singapore IPP FINANCIAL ADVISERS PTE. LTD. Full time
Roles & Responsibilities

Summary:

We are one of the leading Licenced Financial Advisory Firm that has been providing financial planning services to clients for more than a decade. We provide a platform to groom and nurture talents in the area of compliance. The compliance role is to ensure that the company and its representatives conduct their business in compliance with the regulatory requirements.

Your Opportunities:

· Experience a variety of challenges and have plenty of opportunities to interact with management and senior executives who will help and guide you in your compliance career.

· Exposure to the various functions of the Compliance Department and opportunity to gain knowledge on local regulatory requirements.

Depending on the candidate's experience, job duties include:

· Assist and conduct investigation on complaints (including PDPA breaches) and sales compliance issues in a thorough and fair manner. Compile investigation reports and take appropriate follow-up actions.

· Assist Head of Department in the various functions of Compliance to ensure smooth operations of the Compliance Department.

· Assist in compiling respective regulatory reports to senior management and regulator.

· Conduct training to business units and representatives on Compliance related matters.

· Draft notifications in line with regulations to provide guidance to the business unit.

· Provide advisory, guidance and support to business units on regulatory compliance matters.

· Review of marketing materials to ensure compliance with regulations.

· Maintain and review of internal policies and procedures to streamline processes to improve work efficiency.

· Provide guidance and support to business units on regulatory compliance matters.

· Oversee the BSC operations, including handling queries from representatives and regulatory reporting.

· Assist in adhoc duties and projects assigned by Head of Department.

Requirements:

· Minimum 3 years' experience in Financial Institutions (Financial Advisers, Banks or Life Insurers).

· Candidate must possess at least a degree.

· Prior experience in investigation, complaint handling or compliance role in financial service sector preferred.

· Good knowledge of MAS and FAA rules and regulations and/or sales experience in the Financial Industry would be an advantage.

· Good communication and presentation skills

· Strong analytical skills, meticulous, self-motivated and a good problem-solver.

· Team player with good interpersonal skill, able to work independently as well

· Ability to multi-task and prioritise whilst maintain standards and accuracy in deliverables.

· Proficient in MS office applications.

Salary and terms are negotiable depending on qualifications and experience.

Apply with full C.V., a passport-sized photograph with expected remuneration.

We regret that only shortlisted candidates will be notified.

Tell employers what skills you have

Ability to Multitask
Regulatory Compliance
Analytical Skills
Financial Planning
Investigation
MS Office
Adaptability
Compliance
AML
Financial Advisory
Team Player
Regulatory Requirements
Able To Work Independently

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