Compliance Executive (FA/Insurance) - YZ11

Position: Compliance Executive

Working Location: 51 Bras Basah Road, #07-03 Lazada One S189554 Working Hours: 8am to 5pm/8.30am to 5.30pm/9am to 6pm/930am to 630pm (flexi) Working Days: Monday - Friday Salary Range: $3500 - $4500

Job Introduction

We are a local sizeable Financial Advisory firm licensed by MAS. As our new compliance executive, you will ensure that the company functions in a legal and ethical manner while meeting its business goals.

KEY ROLE(S), RESPONSIBILITIES AND DUTIES

• Support the Risk and Compliance department
• Perform responsibilities to ensure company complies with regulatory requirements which includes balanced scorecard audits, regulatory reporting, misconduct investigation and administrative support.
• Motivated to stay abreast of regulatory developments and take charge of communicating the changes and support implementation; not limited to Financial Advisers Act, Personal Data Protection Act.
• Conduct due diligence on new business relationships and support on-going due diligence requirements from business partners.

REQUIREMENTS

• Minimum 'A' level or Diploma with experience in the financial advisory industry.
• Will be a clear advantage if candidate has compliance qualification or experience in the FA or insurance industry.
• Familiar and skillful with the use of Microsoft software especially Excel

Tan Yen Zhen (Chen Yan Zhen) Reg No: R25138932 The SupremeHR Advisory Pte Ltd EA No: 14C7279