Strategic Compliance Professional

2 weeks ago

Singapore beBeeCompliance Full time $80,000 - $120,000
Compliance Specialist Role

Job Description Summary

An accomplished Compliance Specialist is sought after to provide support in developing and implementing regulatory compliance policies. This individual will play a crucial role in ensuring the effective communication of market misconduct matters, including timely and accurate reporting and/or escalation of such matters.

  • Responsible for conducting investigations interviews with relevant stakeholders, obtaining and assessing evidence of alleged misconducts, and providing outcomes of investigations.
  • Oversee procedures to effectively deal with representative's misconduct, from receiving allegations to planning and conducting investigations to taking remedial/recovery actions.
  • Responsible for meeting disciplinary actions in accordance with the Company's Market Conduct Standards.
  • Analysis of common trends to identify high-risk representatives and sales groups and conduct relevant portfolio reviews.
  • Development and implementation of an effective education and engagement program through ongoing communication and training to embed a culture of compliance and ethics.
  • Perform other responsibilities and duties periodically assigned by supervisor.

Requirements and Qualifications

  • Bachelor's degree holder with 3-5 years work experience in the financial industry handling distribution sales compliance.
  • In-depth knowledge of Market conduct and/or Balanced Scorecard related regulations.
  • CMFAS 5, 9 and HI certified is a plus.
  • A highly disciplined and team player with the ability to work well with all stakeholders.
  • Keen eye for detail and good command of written and spoken English with excellent interpersonal skills.
  • Ability to articulate thought processes clearly, concisely and effectively.
  • Ability to multi-task and work well in high pressure environment to meet deadlines.
  • A team-player with systematic problem-solving approach and have sense of ownership and drive.

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