Regulatory Risk Manager

2 days ago

Singapore beBeeCompliance Full time $90,000 - $120,000
Job Overview
As a Compliance Officer, you will play a critical role in ensuring the company adheres to regulatory requirements and internal policies.

Key Responsibilities:
  • Conduct thorough screening and due diligence reviews on prospects and referral partners to ensure compliance with regulations.
  • Ongoing monitoring of existing clients to ensure adherence to regulations and internal policies, identifying areas for improvement and implementing corrective actions as needed.
  • Implementation and enhancement of the Compliance framework within the company, including the development and maintenance of related policies and procedures.
  • Post-transaction review to ensure balanced scorecard requirements are met, analyzing data and providing recommendations for process improvements.
  • Tracking CPD training hours of licensed representatives and maintaining records, ensuring compliance with regulatory requirements.
  • Preparing compliance reports for management and regulatory reporting, highlighting key findings and recommendations for action.
  • Assessing Outsourced Service Providers and administering the Outsourcing Register, ensuring that third-party vendors meet regulatory requirements.
  • Handling compliance-related queries from staff, providing guidance and support to ensure that employees understand their roles and responsibilities in relation to compliance.

Requirements and Qualifications:
  • Bachelor's degree in a business-related field, such as finance, accounting, or law.
  • Minimum 3 years of compliance experience in financial services or insurance industry, with a proven track record of successfully managing compliance programs.
  • Meticulous analytical and problem-solving skills, with the ability to identify and address complex compliance issues.
  • Familiarity with relevant laws, regulations, and industry standards, including Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines or Balanced Scorecard (BSC) framework.

About this Role
This is an exciting opportunity for a highly motivated and detail-oriented individual to join our team as a Compliance Officer. As a Compliance Officer, you will be responsible for ensuring that our company operates in accordance with all relevant laws, regulations, and industry standards. You will work closely with our management team to develop and implement compliance programs, conduct risk assessments, and provide guidance to employees on compliance-related matters.

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