Compliance Executive - Financial Advisory (Hybrid)

STAFFKING PTE LTD

Singapore

Hybrid

SGD 45,000 - 78,000

Full time

2 days ago

Be an early applicant

Application generator

Don’t send a generic resume — generate a resume and cover letter tailored to this exact role.

Get past ATS filters

Job summary

STAFFKING PTE LTD in Singapore seeks a Compliance Executive to support the Risk and Compliance Department in maintaining regulatory conformity. The role focuses on investigations, reviewing documentation, and ensuring adherence to applicable rules and guidelines.

The ideal candidate has a diploma-level qualification, experience in financial advisory compliance, and familiarity with MAS regulations and PDPA.

Qualifications

Minimum Diploma or equivalent qualification in a relevant discipline.
Relevant compliance experience, preferably within the financial advisory or insurance industry.
Familiarity with the Financial Advisers Act, Personal Data Protection Act (PDPA), MAS regulations and relevant compliance guidelines.

Responsibilities

Support the Risk and Compliance Department in ensuring compliance with regulatory requirements and internal policies.
Conduct compliance audits, balanced scorecard reviews and regulatory reporting.
Handle complaints, conduct investigations and coordinate the resolution of compliance-related matters.
Review and manage the recruitment, appointment and cessation of financial adviser representatives.
Review marketing materials to ensure compliance with regulatory guidelines.
Monitor regulatory developments and assist in implementing changes to internal policies and procedures.
Conduct due diligence on new business relationships and support ongoing compliance monitoring.
Maintain accurate compliance records, investigation reports and relevant documentation.
Liaise with internal departments and external stakeholders on compliance-related matters.
Undertake other duties and projects assigned by Management.