Head, Financial Advisory Compliance

**About Our Client**

Our client is a Singapore based FinEduTech company established in 2008 and listed on ASX since 2015; with offices across Asia Pacific that supports a community of value investors from 29 cities globally through our flagship programs and leverages on the power of technology that empowers every person-on-the-street to achieve sustainable wealth.

Their subsidiary that looking for this position is a newly set up Financial Advisory arm responsible for providing value to their community and new members, guiding individuals through a dedicated process to better organise and optimise one’s finances; offering the best-in-class investment knowledge using information technology to empower more control over one’s future.

Their Vision is to be Asia’s market leader in providing a trusted and humanised digital financial advisory experience for the betterment of humanity. Knowing that financial solutions are unique to everyone, it ought to be bespoke and prescribed.

**Roles & Responsibilities**:

- Develop and manage a robust compliance framework in relation to the Financial Advisory business in Singapore
- Ensure the company operates within all the required legislations as issued by MAS, including the Financial Advisers Act 2001 and its related Regulations, Notices and Guidelines and internal Policies and Procedures, including FAA-N13
- Oversee the regulatory function; monitor and enhance the company’s compliance with regulatory requirements, internal SOPs and Balanced Score Card Framework.
- Ensure representatives follow the company’s guidelines, circulars, notices, and laws issued by the MAS or the LIA of Singapore
- Liaise and coordinate with regulatory bodies, external counsel/service providers and various stakeholders on legal, compliance, audit matters and regulatory submissions
- Keep abreast of regulatory developments and recommend best practices
- Prepare regular reporting data (monthly reporting to Group Compliance, CEO and Heads of Departments)

**Skills & Experience Required**:

- Minimum 5 years of relevant experience in the financial services industry, primarily in a Financial Adviser
- Bachelor’s Degree or above in related financial discipline
- Industry recognized Compliance, Governance or Risk qualification is an added advantage
- Good knowledge of Singapore's regulatory requirements, such as Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, AML/CFT regulations, PDPA and Balance Score Card Framework
- Effective interpersonal communication skills to work with various stakeholders across different teams, with ability to work independently as well as in a team
- Entrepreneurial and self-motivated who strives in a fast-paced and agile environment
- Excellent Organization Skills
- Proficient Communication Skills
- Effective Problem Solving Skills
- Strong Business Acumen
- Critical Thinking Skills
- Integrity
- Strong People Skills
- Strong Understanding of FAA Regulatory Guidelines and Policies

**Beyond Skills and Opportunities**
- Excited to play a pivotal part in an early-stage company and have a high impact on the future of the company’s growth
- Interested in providing regulatory guidance on leveraging of social media / digital marketing for extended outreach across multiple platforms
- Personal career aspiration to be an integral part of the senior management cohort

Salary Range : SGD8,000 - SGD10,000 per month

EA Personnel No R21101246

Company EA Registration No 21C0691

**Job Types**: Full-time, Permanent

**Salary**: $8,000.00 - $10,000.00 per month

**Benefits**:

- Health insurance

Schedule:

- Monday to Friday

Supplemental Pay:

- Performance bonus