Compliance Officer
1 week ago
We are seeking an experienced and detail-oriented Compliance Officer to join our team. This role is to support the Chief Compliance Officer in ensuring that the company complies with regulatory requirements as well as internal policies.
Job Responsibilities
1. Conduct screening and due diligence review on prospects and referral partners before onboarding
2. Conduct ongoing monitoring on existing clients
3. Responsible for the implementation and enhancement of the Compliance framework within the company
4. Conduct post transaction review to ensure adherence to regulations and internal policies
5. Track the CPD training hours of the licensed representatives and maintain the record keeping
6. Prepare and maintain the compliance reports for management and regulatory reporting
7. Assess the Outsourced Service Providers and administer the Outsourcing Register of Outsourced Service Providers
8. Handle compliance related queries from staff
Job Requirements and Qualifications
1. Bachelor's degree, preferably in Business related fields
2. Minimum 3 years of compliance experience in the financial services or insurance industry
3. Self-motivated and driven, able to work independently
4. Meticulous, good analytical and problem solving skills
5. Good communication and interpersonal skills
6. Familiar with Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines or Balanced Scorecard (BSC) framework is an added advantage
7. Proficiency in Chinese is required to understand and interpret documents in Chinese from overseas counterparts.
Tell employers what skills you haveMicrosoft Excel
Due Diligence
Regulatory Compliance
Outsourcing
Interpersonal Skills
Compliance
Banking
AML
Regulatory Requirements
KYC
Screening
Audit
Financial Services
Able To Work Independently
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