Analyst/assoc, Financial Advisers Act
2 weeks ago
Business Function Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.Job PurposeWe are looking for a passionate and curious individual to join our Financial Advisers Act (FAA) Investigation Team. As an Investigation Specialist, you should be passionate in uncovering the truth and will assume responsibilities to ensure that investigations are conducted and completed in a comprehensive and timely manner, and resulting in a fair outcome for the customer.Responsibilities* Conduct thorough investigations into potential breaches of the Financial Advisers Act and related regulations.* Gather evidence, and interview clients, financial advisors and witnesses.* Analyse financial records, client documentation, and other relevant materials to identify patterns of misconduct.* Prepare detailed investigation reports with findings and recommendations for remediation.* Collaborate with internal and external stakeholders, including Insurers, the Financial Disputes Resolution Centre Ltd, regulatory bodies and law enforcement agencies.* Maintain accurate records of investigations.* Stay abreast of changes in financial regulations and compliance requirements.Requirements* A Diploma / Degree in a relevant field (e.g.
-
Analyst/Assoc, Financial Advisers Act
1 week ago
DBS Asia Central, Singapore at DBS Full time $104,000 - $130,878 per yearAnalyst/Assoc, Financial Advisers Act (FAA) Investigation Specialist, Group Compliance - (WD Business Function Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business...
-
Analyst/Assoc, Financial Advisers Act
1 week ago
Singapore DBS Bank Full time $90,000 - $120,000 per yearBusiness Function Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust...
-
Financial Adviser
1 week ago
Singapore IPP FINANCIAL ADVISERS PTE. LTD. Full timeRoles & Responsibilities IPP have been providing quality financial advice in Singapore since 1983. The Expat Advisory Group, a specialist division within the Company are seeking experienced financial advisers to join their expanding team. Only the most motivated, highly driven and successful need apply. Relevant tertiary educational qualifications (or...
-
Financial Adviser
2 days ago
Singapore IPP FINANCIAL ADVISERS PTE. LTD. Full timeRoles & ResponsibilitiesIPP have been providing quality financial advice in Singapore since 1983. The Expat Advisory Group, a specialist division within the Company are seeking experienced financial advisers to join their expanding team. Only the most motivated, highly driven and successful need apply.Relevant tertiary educational qualifications (or...
-
Senior Financial Adviser
5 days ago
Singapore IPP FINANCIAL ADVISERS PTE. LTD. Full timeRoles & Responsibilities IPP have been providing quality financial advice in Singapore since 1983. The Expat Advisory Group, a specialist division within the Company are seeking highly experienced financial advisers to join their expanding team. Only the most motivated, highly driven and successful need apply. Relevant tertiary educational qualifications...
-
Senior Financial Adviser
1 week ago
Singapore IPP FINANCIAL ADVISERS PTE. LTD. Full timeIPP have been providing quality financial advice in Singapore since 1983. The Expat Advisory Group, a specialist division within the Company are seeking highly experienced financial advisers to join their expanding team. Only the most motivated, highly driven and successful need apply. Relevant tertiary educational qualifications (or equivalent to meet FAA...
-
Senior Financial Analyst
5 days ago
Singapore ACT Group Full time**Who we are**: We are the best at what we do. ACT Group is the world's leading provider of market-based sustainability solutions. We trade environmental products and help our clients reach their environmental and sustainability objectives through trading and advising on products such as carbon offsets, renewable energy certificates, biofuels and many...
-
Financial Adviser
2 days ago
Singapore SYNERGY FINANCIAL ADVISERS LTD. Full timeRoles & ResponsibilitiesTo service clients who arerequesting financial planning services, providing wholesome advice, including: Personal Financial Planning, Personal Will and Estate Planning, HNWI Planning GI InsuranceCandidate must haveA Degree or A Diploma Mature and Outgoing Excellent communication and sales skills.Tell employers what skills you...
-
Financial Adviser
1 week ago
Singapore SYNERGY FINANCIAL ADVISERS LTD. Full timeTo service clients who arerequesting financial planning services, providing wholesome advice, including: Personal Financial Planning, Personal Will and Estate Planning, HNWI Planning GI Insurance Candidate must haveA Degree or A Diploma Mature and Outgoing Excellent communication and sales skills.
-
Independent Financial Adviser
1 week ago
Singapore Avallis Financial Pte Ltd Full timeAt Avallis Financial, you have the power to chart your own career path. You define the pace of your growth - from an Independent Financial Adviser Representative to Senior Consultant and Principal consultant level - at which point you can choose to continue in general practice, manage a team or become a specialist. Our multi-representation and independence...
