Investigator (Market Conduct)

3 days ago

Singapore FINEXIS ADVISORY PTE. LTD. Full time

**ARE YOU SEEKING FOR GROWTH YET YOU WANT A FULFILLING CAREER?**

Be ready to embark on a journey which offers you an exciting opportunity

**HERE’S A SHORT INTRO OF WHO WE ARE**

Since 2005, finexis has been more than just a financial services provider - we are lifelong confidantes, guiding clients through every stage of their financial journey. As the largest and fastest growing independently-owned financial advisory firm in Singapore, we are proud to have over 900 consultants and staff, $1.3 billion in assets under advisory, and strategic partnerships, that establish us as a market leader in personalised financial services.

We deliver tailored financial solutions in wealth management, investment planning, and risk management, all driven by our mission to impact lives beyond finance.

**WHAT TO EXPECT**

The Compliance team is seeking a Compliance Executive who will be responsible for ensuring that the company’s representatives meet the stipulated competence and compliance standards, in accordance with industry guidelines and regulatory requirements. You will be part of a dedicated and focused team, tasked with working under strict deadlines to ensure that screenings and periodic reviews are completed within the stipulated timeline. You will report directly to the Deputy Head of Compliance.

**WHAT YOU’LL DO**
- Conduct reviews to ensure that representatives have met the stipulated competence and compliance standards (i.e. Sales & Advisory Process and ensure documentations meet the FAA requirements)
- Perform client surveys to determine if representatives have met the stipulated standards relating to the FAA and general service standards
- Conduct investigations into complaints against representatives
- Perform trend analysis and prepare reports for Senior Management and MAS in a timely manner, documenting the findings of our reviews and the proposed actions to be taken
- Review and enhance existing processes to remain relevant and up to-date with changes in regulations and business practices
- Assist in any ad-hoc projects as assigned by the team lead or Head of Department

**WHO YOU ARE**
- At least one (1) year of relevant experience in AML, Compliance or Audit related fields would be preferred
- Fresh graduates may be considered
- Good knowledge of Microsoft Excel (e.g. pivot table) and Tableau
- Knowledge of FAA requirements would be preferred
- Good interpersonal and communication skills
- Able to work independently

**WHAT’S IN IT FOR YOU**
- Competitive remuneration
- Flexi-Benefits
- Hybrid work week
- A workplace environment that fosters collaboration and interactions with others
- Opportunity to work with various teams

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