Executive, Compliance

2 weeks ago

Singapore CORNERSTONE PLANNERS PTE LTD Full time

Cornerstone is a successful Independent Financial Adviser and Exempt Insurance Broker with over two decades of experience. To support our growing business, we are seeking for an experienced Compliance & Ops Executive.

Reporting to Head, Operations and the firm's Management, you will be tasked with the following:

- Manage all compliance and risk management functions such as screening and maintaining records for all life insurance transactions, internal sales audit unit function, representative/employee onboarding screening and ongoing conduct.
- Be the point of contact for legal matters, such as reviewing contracts & agreements, liaising with our external legal partner and data protection tasks.
- Prepare and submit submissions as required by regulators.
- Advise, support and train the various departments in compliance and legal matters.
- Conduct regular reviews of and update when needed all the firm’s compliance-related policies.
- Undertake any operations related tasks as assigned from time to time.

To succeed in this position, you will require the following:

- Minimum 2-3 years* experience in a similar compliance function.
- Knowledge of the Securities & Futures Act will be an advantage.
- Eye for detail.
- Team player who can work independently.
- *Salary will commensurate with years of experience_

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