Compliance Specialist

4 days ago


Singapore FINEXIS ADVISORY PTE. LTD. Full time
Job Summary:

We are seeking a highly skilled Compliance Specialist to join our team at FINEXIS ADVISORY PTE. LTD. as a KYC Executive. The successful candidate will be responsible for validating Know-Your-Client submissions by our Financial Consultants to ensure they meet regulatory expectations and internal guidelines.

About the Role:
This is an exciting opportunity to work with a talented team of professionals who are passionate about delivering exceptional client service and ensuring compliance with regulatory requirements. As a Compliance Specialist, you will play a critical role in ensuring that our Financial Consultants consistently meet fiduciary and regulatory expectations.

Key Responsibilities:
  • Validate Know-Your-Client submissions by consultants to ensure compliance with regulatory requirements
  • Support team managers in developing the regulated skills and competencies of our Financial Consultants
  • Ensure effective governance and suitability standards are met at all times
  • Train consultants on Fair Dealing and other regulatory requirements
  • Assist in project management and coordinate events aligned with our core activities

Requirements:
  • A minimum Diploma holder in any field of study (subject to MAS FAA tertiary requirements)
  • At least 21 years of age due to MAS FAA requirement
  • Outstanding interpersonal and communication skills
  • At least 1 year sales experience in financial sales preferred
  • Having CMFAS paper M5, M9, M9a, HI, M8, M8a preferred

Estimated Salary Range:
$45,000 - $60,000 per annum, depending on experience. We offer a comprehensive benefits package including medical, dental and optical coverage, paid leave and training opportunities.

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