Compliance Executive

Infinity Financial Advisory; Singapore; On-site; SGD 42,000 - 72,000; Full time

Job summary

Infinity Financial Advisory, a licensed Financial Advisory firm in Singapore, is seeking a Compliance Officer to uphold regulatory standards and ensure operations align with MAS notices, FAA guidelines and related laws.

You will perform regular checks on representatives’ documentation, assist onboarding and offboarding, track outstanding issues, prepare compliance reports, and support training and awareness programs for staff.

Qualifications

• Diploma or Degree in Finance, Business, Law, or related discipline.
• Fresh graduates welcome; prior experience in a financial advisory or compliance role is an advantage.
• Familiarity with MAS regulations (FAA, AML/CFT) is helpful.
• Extremely detail-oriented with strong organizational and deadline-management skills.
• Excellent interpersonal and communication abilities.
• Proficient in Microsoft Office tools (Word, Excel, PowerPoint).
• High level of integrity and professionalism.

Responsibilities

• Conduct regular checks on representatives’ advisory documentation for quality and compliance, including AML screening.
• Assist onboarding and offboarding for financial adviser representatives, including regulatory notifications to MAS.
• Track and follow up on outstanding compliance issues, audit findings, and representative declarations.
• Monitor compliance with the Financial Advisers Act, MAS Notices and Guidelines, and other regulations.
• Support review and approval of marketing and sales materials.
• Coordinate internal audits, inspections, and regulatory submissions.
• Maintain records of certifications, training, and CPD requirements.
• Prepare compliance reports and assist in management reporting.
• Provide support during compliance training sessions and awareness programs.
• Stay current on regulatory updates and implement policy changes.
• Perform administrative tasks related to compliance functions.

Skills

Attention to detail

Organizational skills

Communication skills

Integrity and professionalism

Deadline management

MS Office proficiency

Education

Bachelor's/ Diploma in Finance, Business, Law, or related discipline

Tools

Microsoft Office

Job description

We are a licensed Financial Advisory firm in Singapore, committed to delivering quality financial solutions to our clients with integrity and professionalism. As part of our compliance team, you will play a vital role in upholding regulatory standards and ensuring our operations adhere to all applicable laws and guidelines.

Key Responsibilities:

• Conduct regular checks on representatives’ advisory documentation to ensure quality and compliance including AML screening.




• Assist in onboarding and offboarding processes for financial adviser representatives, including regulatory notifications to MAS.




• Track and follow up on outstanding compliance issues, audit findings, and representative declarations.




• Assist in monitoring the company’s compliance with the Financial Advisers Act, MAS Notices and Guidelines, and other applicable regulations.




• Support the review and approval process of marketing and sales materials.




• Help coordinate internal audits, inspections, and regulatory submissions.




• Maintain up-to‑date records of representatives’ certifications, training, and CPD requirements.




• Prepare compliance reports and assist in management reporting.




• Provide support during compliance training sessions and awareness programs.




• Stay current on regulatory updates and assist in implementing necessary changes in policies and procedures.




• Perform administrative tasks related to compliance functions.

Requirements:

• Diploma or Degree in Finance, Business, Law, or related discipline.




• Fresh graduates are welcome; prior experience in a financial advisory firm or compliance‑related role is an advantage.




• Familiarity with MAS regulations (e.g., FAA, AML/CFT guidelines) is an advantage.




• Strong attention to detail, organizational skills, and ability to manage deadlines.




• Good interpersonal and communication skills.




• Proficient in Microsoft Office (Word, Excel, PowerPoint).




• High level of integrity and professionalism.