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Compliance Specialist

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Compliance Specialist

Job Summary:

The Compliance Specialist will be responsible for implementing and enhancing the Compliance framework within the organization. This includes conducting thorough screening and due diligence reviews, ongoing monitoring of clients, and post-transaction reviews to ensure adherence to regulatory requirements and internal policies.

Key Responsibilities:

  • Conduct comprehensive screening and due diligence reviews on prospects and referral partners before onboarding.
  • Monitor existing clients to ensure compliance with regulatory requirements and internal policies.
  • Develop and implement the Compliance framework within the organization.
  • Conduct post-transaction reviews to ensure adherence to regulatory requirements and internal policies.
  • Track CPD training hours of licensed representatives and maintain records.
  • Prepare and maintain compliance reports for management and regulatory reporting.
  • Assess outsourced service providers and administer the outsourcing register of outsourced service providers.
  • Handle compliance-related queries from staff.

Requirements and Qualifications:

  • Bachelor's degree in Business or a related field.
  • Minimum 3 years of experience in compliance in the financial services or insurance industry.
  • Meticulous, good analytical, and problem-solving skills.
  • Familiarity with Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines, or Balanced Scorecard (BSC) framework is an advantage.