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

The Supreme HR Advisory Pte. Ltd.; Singapore; Vor Ort; SGD 39.000 - 50.000; Vollzeit

Zusammenfassung

The Supreme HR Advisory Pte. Ltd. is seeking a Compliance Executive to ensure the firm operates legally and ethically while meeting business goals.

The role sits in a local financial advisory firm licensed by MAS and reports into the Risk and Compliance department. Key duties include regulatory reporting, due diligence on business relationships, and staying current with regulatory changes, including PDPA and FA Act.

Qualifikationen

• 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 with Microsoft Excel.

Aufgaben

• Support the Risk and Compliance department.
• Perform responsibilities to ensure company complies with regulatory requirements including balanced scorecard audits, regulatory reporting, misconduct investigation and administrative support.
• Stay abreast of regulatory developments and communicate changes to support implementation; not limited to Financial Advisers Act, Personal Data Protection Act.
• Conduct due diligence on new business relationships and support ongoing due diligence requirements from business partners.

Ausbildung

A level or Diploma

Tools

Excel

Jobbeschreibung

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.