Compliance Officer

2 weeks ago

Singapore LSG INSURANCE PTE. LTD. Full time

**Job Description
The Compliance Officer is responsible for ensuring that the company complies with all applicable regulations, laws, and industry best practices related to life insurance sector. This role involves implementing, monitoring, and enforcing the company’s compliance policies and procedures, and ensuring that all employees understand and adhere to them. The Compliance Officer will report to the Chief Operation Officer (COO) and the Board of Directors and work closely with other departments to ensure the company's compliance with regulatory requirements.

**Key Duties/Responsibilities**
- Ensure the company's compliance with all relevant regulatory requirements, including but not limited to the Securities and Futures Act, the Financial Advisers Act, and the Code of Conduct for Licensed Financial Advisers.
- Develop and maintain the company's compliance policies and procedures and ensure that they are up to date with changes in regulations and laws.
- Conduct regular compliance risk assessments and implement appropriate measures to mitigate identified risks.
- Provide advice and guidance to the company's management and employees on compliance-related matters.
- Develop and deliver compliance training programs to employees.
- Ensure that all employees are aware of their compliance obligations and responsibilities.
- Monitor and report on the effectiveness of the company's compliance program to senior management and the Board of Directors.
- Investigate and report any potential compliance breaches or violations and recommend appropriate corrective actions.
- Review and approve marketing and advertising materials to ensure compliance with regulatory requirements.
- Act as the primary point of contact for regulators and auditors and assist with regulatory inspections and audits.
- Assist with compliance oversight of Company’s subsidiaries and branch office.
- Responsible for licensing and timely reminders of the obligations of licensees.
- Conduct AML/KYC reviews for new business as well as on an on-going basis Assist in any ad-hoc compliance related projects as assigned.

**Qualifications and Skills**
- Degree in Law, Business Administration, Finance or a related field.
- At least 5 years of experience in a compliance role in a financial institution, preferably in a financial advisory company regulated by the MAS.
- Knowledge of the regulatory environment and requirements in Singapore, including the Securities and Futures Act, the Financial Advisers Act, and the Code of Conduct for Licensed Financial Advisers.
- Strong analytical, problem-solving, and decision-making skills.
- Excellent communication, interpersonal, and stakeholder management skills.
- Able to work independently and as part of a team. Expertise in risk management and legal aspects will be be given preference.
- Professional certification in compliance or a related field is a plus.

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