Compliance Professional

1 week ago

Singapore beBeeCompliance Full time $90,000 - $120,000
Compliance Specialist Job Description

A compliance specialist is a vital role in ensuring that organizations operate within legal and regulatory frameworks.

The job entails developing, implementing, and enforcing policies to prevent non-compliance issues. Effective communication of market misconduct matters, timely reporting, and accurate escalation protocols are crucial for success in this position.

The ideal candidate will have in-depth knowledge of Market conduct and/or Balanced Scorecard related regulations, as well as excellent analytical and problem-solving skills. Strong interpersonal skills, with the ability to articulate thought processes clearly, concisely, and effectively, are also essential.

A bachelor's degree holder with 3 to 5 years of experience in the financial industry handling distribution sales compliance is required. CMFAS 5, 9, and HI certification is a plus.

The role involves conducting investigations, interviews, and analyzing data to identify high-risk representatives and sales groups. Developing and implementing an effective education and engagement program through ongoing communication and training to embed a culture of compliance and ethics is also key.

This is a highly disciplined and team-player role that requires strong time management and organization skills to meet deadlines. A systematic problem-solving approach and a sense of ownership and drive are must-haves for this position.

"Required Skills and Qualifications"
  • Bachelor's degree holder with 3 to 5 years work experience in the financial industry handling distribution sales compliance
  • In-depth knowledge of Market conduct and/or Balanced Scorecard related regulations
  • CMFAS 5, 9 and HI certified is a plus
"Benefits"
  • Opportunity to work in a collaborative team environment
  • Chance to develop and implement regulatory compliance policies
  • Frequent professional development opportunities
"Others"
  • Maintain up-to-date knowledge of changing regulations and legislation
  • Work closely with stakeholders to ensure seamless communication
  • Meet deadlines while maintaining quality of work

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