Regulatory Compliance Officer

3 days ago

Singapore AIA Singapore Private Limited Full time

We are seeking an experienced Regulatory Compliance Officer to join our team at AIA Singapore Private Limited. In this role, you will play a crucial part in ensuring that our business operations comply with relevant regulations and laws.

About the Role

This position is responsible for managing and mitigating regulatory risk, particularly on market conduct compliance matters. You will collaborate with various business functions to foster a positive risk culture through effective risk and compliance awareness, engagement, advisory, and preventive programs. Additionally, you will provide necessary mentoring and coaching to fellow team members.

Key Responsibilities:
  • Provide ongoing compliance advisory and support to business functions on various business initiatives to ensure compliance with existing and new regulations.
  • Conduct gap assessments on new regulatory developments, liaise with business functions to ensure proper implementation of new requirements, and monitor identified gaps to ensure adherence to regulatory requirements.
  • E nsure regulatory compliance registers are kept up-to-date and timely certified by Senior Management, and regulatory obligations are effectively embedded into business. Monitor and ensure proper remediation of any lapses noted.
Regulatory Liaison:
  • Liaise with key regulators and industry associations to address their requests and queries promptly. Facilitate engagement sessions with key regulators to manage AIAS' relationship with them effectively.
  • Review and challenge business functions on responses to regulators to ensure accurate, consistent, and high-quality responses.
  • Assist in reporting requirements to regulators, Group, Board of Directors, senior management, and other stakeholders as needed.
Other Responsibilities:
  • Provide necessary mentoring and coaching to upskill fellow team members.
Financial Measures:
  • To prevent fines and penalties imposed by regulators for non-compliance of regulations.
Non-Financial Measures:
  • Implement regulatory requirements at the local level by communicating requirements effectively to relevant departments/staff, identifying gaps, implementing action plans to mitigate gaps, and providing necessary training.
  • Provide prompt compliance advice when handling queries.
  • Complete gap assessments with business functions within stipulated timelines, ensuring new requirements are properly implemented by business.
  • Timely reporting to regulatory/statutory bodies. Prompt escalation of issues or potential delays to management.
  • All other responsibilities and duties assigned by manager are completed within stipulated deadlines.
Estimated Salary Range: SGD 80,000 - SGD 120,000 per annumRequirements:
  • Bachelor Degree (or degree equivalent) with emphasis on accountancy, business/business administration/business management/business studies, insurance, or law.
  • At least 6 years' relevant experience, preferably in the financial services industry, focusing on market conduct regulatory compliance for retail customers and liaison with MAS.
  • LOMA, CMFAS papers will be an added advantage.
Skills:
  • Team player
  • Good understanding of the Financial Advisers Act 2001 and its subsidiary legislations, guidelines, and relevant industry association's memos, and the application to retail business.
  • Liaison, relationship building, and communication skills e.g. mediation.
  • Building trust and credibility with Key Regulators by responding in an accurate, timely, and concise manner.
  • Project management
  • Presentation skills

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