Compliance Audit Specialist

5 days ago


Singapore OCBC Full time

At OCBC, we are committed to maintaining the highest standards of integrity and compliance in our investment sales practices. As a Compliance Audit Specialist - Investment Sales, you will play a critical role in ensuring that our sales representatives adhere to the Bank's policies and procedures, as well as regulatory requirements.

Job Summary

We are seeking an experienced professional to join our team as a Compliance Audit Specialist - Investment Sales. In this role, you will be responsible for conducting audits and reviews of investment sales activities to ensure compliance with regulatory requirements and internal policies. You will also provide training and guidance to new hires on vulnerable safeguards and the Balanced Scorecard Framework.

About the Role

This is a challenging and rewarding role that requires strong analytical and interpersonal skills. As a Compliance Audit Specialist - Investment Sales, you will work closely with various stakeholders, including branch banking, regulatory compliance unit, customer assurance, and external vendors. Your attention to detail, excellent communication skills, and ability to analyze complex data will be essential in performing your duties.

The ideal candidate will have a degree with at least 3 years of experience in sales compliance in the banking sector. You should have a good understanding of regulations governing the sale of investment products to retail customers, such as the Financial Advisory Act and MAS Guidelines on Fair Dealing. Your computer skills, particularly in Microsoft Excel, Word, and PowerPoint, will also be highly valued.

Key Responsibilities
  • Conduct audits and reviews of investment sales activities to ensure compliance with regulatory requirements and internal policies;
  • Provide training and guidance to new hires on vulnerable safeguards and the Balanced Scorecard Framework;
  • Monitor BSC results, identify root causes of significant lapses, and pursue remediation;
  • Keep checks current with developments in the regulatory environment and internal processes and systems;
Salary Estimate

We offer a competitive salary range of SGD $80,000 - $120,000 per annum, depending on experience.



  • Singapore People Profilers Full time

    Job DescriptionWe are seeking a highly skilled Audit Compliance Specialist to join our team at People Profilers.Company OverviewAs an Audit Compliance Specialist, you will be responsible for managing the company's compliance programs and systems. This includes ensuring adherence to regulatory requirements, industry standards, and internal policies. You will...


  • Singapore Shanghai Pudong Development Bank (Singapore Branch) Full time

    Job SummaryWe are seeking a highly skilled Audit and Compliance Specialist to join our Internal Audit Department at Shanghai Pudong Development Bank (Singapore Branch).About the RoleThis is an exciting opportunity to work in a dynamic environment where you will be responsible for providing full support and accountability to our Internal Audit Department....

  • Audit Associate

    3 weeks ago


    Singapore RELIANCE AUDIT PAC Full time

    Key ResponsibilitiesConduct thorough reviews of management accounts to inform audit engagements and identify key risk areas.Perform fieldwork, including tests of controls, substantive analytical procedures, and other tests of details.Prepare tax computations for submission to relevant authorities.Ensure compliance with relevant laws and regulations,...


  • Singapore Audit Alliance LLP Full time

    Job Description & RequirementsJob Description:Assist in statutory audit of private companies, limited companies, and non-profit organizations.Assist in the performance of compliance audits.Perform high quality and effective audit procedures.Apply financial reporting standards and auditing standards for audits.Prepare financial reporting for disclosure and...

  • Audit Assistant

    4 weeks ago


    Singapore JP AUDIT PAC Full time

    Roles & ResponsibilitiesThe main job responsibilities for audit associate position: Perform and manage statutory audit assignments and special audit engagements Preparation of statutory financial statements in accordance with the Singapore Financial Reporting Standards Assist in ad hoc projects/assignments when required Ensure timely submission of...

  • Audit Senior Associate

    2 months ago


    Singapore RELIANCE AUDIT PAC Full time

    Roles & Responsibilities Review management accounts and assist in planning of the audit engagements including, but not limited to, understanding of the client’s business environment, assessment of key risks areas, determination of materiality and performance of preliminary analytical review Perform fieldwork for audit including,...

  • Audit Associate/Senior

    7 months ago


    Singapore AUDIT ALLIANCE LLP Full time

    Roles & Responsibilities- To assist in statutory audit of private companies, limited companies and non-for-profit organisations.- To assist in performance of compliance audits.- To perform high quality and effective audit procedures.- To learn and apply financial reporting standards and audit standards.- To learn financial reporting for disclosure and...

  • Audit Manager/Partner

    4 weeks ago


    Singapore AUDIT ALLIANCE LLP Full time

    Roles & Responsibilities1. Audit professional with one or more of the following qualifications:1.1 Bachelor degree in Accounting;1.2 Possess CA Singapore Qualifications will be an advantage;1.3 Possess other professional accountancy qualifications from recognized accountancy bodies thatare recognized in Singapore including ACCA / ICAEW /Singapore CA/ CPA...


  • Singapore AUDIT ALLIANCE LLP Full time

    Roles & Responsibilities- To assist in statutory audit of private companies, limited companies and non-for-profit organisations.- To assist in performance of compliance audits.- To perform high quality and effective audit procedures.- To learn and apply financial reporting standards and audit standards.- To learn financial reporting for disclosure and...

  • Audit Specialist

    1 month ago


    Singapore Deutsche Bank Full time

    About the Role:We are seeking a highly skilled Audit Specialist to join our team at Deutsche Bank. As an Audit Specialist, you will play a critical role in ensuring the integrity and effectiveness of our internal controls and risk management processes.Key Responsibilities:Support the development and implementation of audit plans and strategies to ensure...

  • Compliance specialist

    3 weeks ago


    Singapore Abbott Laboratories Full time

    Abbott is a global healthcare leader, creating breakthrough science to improve people’s health. We’re always looking towards the future, anticipating changes in medical science and technology. Primary Function: To conduct internal and external audits and maintained the audits schedule. Responsible for Compliance activities in the plant. Responsible for...


  • Singapore Gear Inc Full time

    Job SummaryGear Inc. is seeking a highly skilled Financial Compliance Specialist to play a critical role in ensuring the accuracy and reliability of our financial information. The ideal candidate will have a strong background in finance and accounting, with experience in conducting comprehensive financial audits and analyzing financial data.Key...


  • Singapore CYPRESS SINGAPORE PAC Full time

    About the Role:Cypress Singapore PAC is seeking a highly motivated and experienced Audit Associate/Senior to join our team. As an Audit Associate/Senior, you will be responsible for executing audit procedures in compliance with professional standards. Your key responsibilities will include identifying significant accounting and auditing issues, executing...


  • Singapore COSMOSTAR SINGAPORE PRIVATE LIMITED Full time

    COSMOSTAR SINGAPORE PRIVATE LIMITED: Senior Audit and Compliance RoleAs a seasoned professional, you will lead, coordinate, and oversee audit and compliance-related programs, ensuring seamless execution and effective risk mitigation. Key responsibilities include:Supporting the design, implementation, and execution of a comprehensive risk assessment...


  • Singapore COSMOSTAR SINGAPORE PRIVATE LIMITED Full time

    Roles & ResponsibilitiesRoles and Responsibilities: Lead, coordinate, and oversee audit and compliance-related programs Support the design, implementation, and execution of a comprehensive risk assessment methodology Assist in developing and managing the annual audit plan, audit schedule, and reporting packages for various stakeholders Plan, execute, and...


  • Singapore IHiS Full time

    Job DescriptionWe are seeking an experienced IT Compliance Specialist to join our team at IHiS. In this role, you will be responsible for managing the life cycle of audit projects and issues from start to closure.Responsibilities:Audit Management: Assist the Infra team in managing the life cycle of audit projects and issues from start to closure.Status...

  • Auditing Specialist

    3 weeks ago


    Singapore SPEEDY ENERGY PTE. LTD. Full time

    Role OverviewSPEEDY ENERGY PTE. LTD. is seeking an experienced Auditing Specialist to join our Internal Audit team.As an Auditing Specialist, you will be responsible for audit planning, system review, and audit fieldwork. You will conduct audit work for companies across various industries and prepare statutory financial statements and audit finalization...


  • Singapore HAYS SPECIALIST RECRUITMENT PTE. LTD. Full time

    Job SummaryAs a Senior Operations Audit Manager at HAYS SPECIALIST RECRUITMENT PTE. LTD., you will play a vital role in ensuring the effectiveness of our company's internal controls and risk management measures. Your primary responsibility will be to develop a comprehensive, risk-based annual audit plan that focuses on credit-related areas and operational...

  • Compliance Specialist

    3 weeks ago


    Singapore Company 14 - Manulife (Singapore) Pte. Ltd. Full time

    Job SummaryWe are seeking a highly motivated and detail-oriented Compliance Specialist to join our team in Sales Conduct Compliance at Company 14 - Manulife (Singapore) Pte. Ltd.About the RoleAs a Compliance Specialist in Sales Conduct Compliance, you will be responsible for assisting the Team Lead in supporting the Sales Conduct Compliance work plan. Your...

  • Audit Specialist

    3 weeks ago


    Singapore ONEMILLENNIUM PAC Full time

    Audit Specialist Role at ONEMILLENNIUM PACONEMILLENNIUM PAC is seeking a highly skilled Audit Specialist to join our team. As a key member of our audit team, you will be responsible for performing audits for a broad range of clients across various industries.Key Responsibilities:Perform audit planning, fieldwork, and completionAssist the Director in...