Compliance Specialist ( Financial Advisory / Balance Scorecard experience)

Position: Compliance Executive

Working Location: Bras Basah Working Hours: 8am to 5pm/8.30am to 5.30pm/9am to 6pm/930am to 630pm (flexi) Working Days: Monday - Friday Salary Range: $4000 - $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.

https://wa.me/6588393566 🌸Whatsapp +65 8839 3566 (Angel) LIEW ONN KEE REG NO : R22108518 THE SUPREME HR ADVISORY EA NO:14C7279