[0580] Compliance Associate – Exp in Financial Advisory Industry | BSC Audit - Central/ 5 days/ $4.5k

The Supreme HR Advisory Pte. Ltd.; Singapore; On-site; SGD 39,000 - 50,000; Full time

Job summary

The Supreme HR Advisory Pte. Ltd. in Bras Basah is seeking a Compliance Executive for a local financial advisory firm licensed by MAS. You will ensure the company functions legally and ethically while meeting its business goals.

The role requires a diploma or A-level, familiarity with compliance in FA/insurance, and strong Excel skills. Working days are Monday to Friday; salary ranges from SGD 3,500 to SGD 4,500 per month.

Qualifications

• Minimum 'A' level or Diploma with experience in the financial advisory industry.
• Compliance qualification or experience in the FA or insurance industry is a plus.
• Familiar and skillful with the use of Microsoft Excel.

Responsibilities

• 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.

Skills

Excel

Education

A-level or Diploma

Job description

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: $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.