Regional Compliance Officer

2 weeks ago

Singapore AON SINGAPORE PTE. LTD. Full time

Key Accountabilities - Regional
- Acting as the point of contact for Regional Compliance matters
- Reviewing client entertainment and gift acceptance requests, conduct Quarterly Entertainment and Gifts monitoring
- Advising the business on Conflict-of-Interest requests
- Reviewing Third Party requests from business sponsors, managing, coordinating, and facilitating the APAC RWG monthly meetings
- Creating Asia Compliance e-learnings, generating overdue training reports to Local Compliance Officers
- Delivering TP payment reports to Local Compliance Officers and finance, performing bi-annual random sample checking of Third Party and Co-broker agreements, maintaining Aon regulated entities and corresponding licenses listing and global licensing listing.
- Managing the LCO’s in India, Thailand, and Japan

Singapore specific:

- Provide guidance to new staff on the requirements and obligations of a broking staff and/or FA representative.
- Keep track that regulated staff sign off the letter of undertaking that no regulated activities to be conducted till approval is obtained.
- Prepare letter of authorization letters for broking staff and/or FA representatives in accordance with their approved regulated activities.
- Maintain updated list of regulated staff and keep track of staff movements notified by HR.
- Registration and de-registration of FA representatives on MAS webportal
- Registration and de-registration of CEO/ Directors of regulated entities with MAS
- Monthly submission of new broking staff particulars to MAS
- Follow up with staff who do not comply with block leave requirements and work with HR to issue advisory letters

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