Assistant Manager, Compliance

6 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 our incorporation in 2005, finexis has grown to become a leading homegrown financial advisory firm in Singapore licensed by the Monetary Authority of Singapore, with assets under advisory of almost S$1 billion. Our strategic partnerships, extensive portfolio of leading financial solutions, strength of more than 600 financial consultants and support staff have enabled us to become a market leader in the field of specialised financial services.

**WHAT TO EXPECT**

The Market Conduct team is part of the Compliance department, and is primarily responsible to manage any risks relating to market misconduct by the agency. You will be part of a dynamic and driven team, and have the opportunity to work with various stakeholders, including but not limited to our partners, clients and regulators. You will report directly to the Deputy Head of Compliance.

If this is what you are looking for, look no further and be ready to take this leap of faith by giving your 120% This is just the beginning as we are excited to work with you to shape this into something extraordinary

**WHAT YOU’LL DO**
- Independently conduct investigations from beginning to end, including interviews and writing investigation reports
- Perform regular and ad-hoc audits to identify any key risk areas, such as training & competency and manipulation checks
- Assists in developing, enhancing and implementing policies, procedures and control assessments in response to identified risks
- Conduct trainings on a regular basis to enhance competency of the agency
- Ensure our agency is in compliance with all relevant laws and regulations (e.g. notices and circulars) issued by the Authorities or the Company

**WHO YOU ARE**
- Degree with at least 3 years of experience performing investigations in FA firms, insurance companies or related financial institutions
- Ability to multitask, work under pressure and remain agile in a fast-paced environment
- Resourceful and a strong team player
- Good report writing ability
- Strong communication skills
- Understanding the relevant regulations, including the FAA and LIA guidelines
- Critical thinking
- Time management and prioritisation
- Responsible and takes personal ownership
- Positive mindset

**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

**Does this sound like you?

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