Compliance Executive (Financial Services)

SmartHire by SEEK; Singapore; On-site; SGD 60,000 - 80,000; Full time

Job summary

A forward-thinking financial services firm seeks a Compliance Executive to ensure regulatory compliance. Responsibilities include quality assurance, onboarding support, and audit coordination. Ideal candidates are detail-oriented with a background in Finance or Law, and no prior experience is necessary for application.

Qualifications

• Educational background in Finance, Business, Law, or a related discipline.
• Familiarity with MAS regulations beneficial but not mandatory.
• Proficiency in Microsoft Office to handle daily tasks efficiently.

Responsibilities

• Conduct regular checks on advisory documentation for compliance.
• Assist in onboarding and offboarding processes for representatives.
• Prepare compliance reports and track issues to maintain regulatory adherence.

Skills

Attention to detail

Organizational skills

Professional integrity

Education

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

Tools

Microsoft Office

Job description

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Compliance Executive (Financial Services)

Our client is seeking a Compliance Executive to join their team!

About Our Client

Our client is a forward-thinking financial services firm. They focus on providing streamlined, essential financial planning services that align with the values of exploration and adventure held by the clients. Their tailored approach allows clients to quickly access the information they need and move forward confidently with their lives.

What you'll be doing?

Quality assurance: Conduct regular checks on representatives' advisory documentation to ensure compliance with regulations and maintain high standards.

Onboarding support: Assist in the onboarding and offboarding processes for financial adviser representatives, including regulatory notifications to MAS.

Issue management: Track and follow up on outstanding compliance issues, audit findings, and representative declarations to maintain regulatory adherence.

Regulatory compliance: Help monitor the company's compliance with the Financial Advisers Act, MAS Notices and Guidelines, and other applicable regulations.

Marketing review: Support the review and approval process of marketing and sales materials to ensure alignment with regulatory requirements.

Audit coordination: Help coordinate internal audits, inspections, and regulatory submissions to maintain operational excellence.

Record keeping: Maintain up-to-date records of representatives' certifications, training, and CPD requirements to ensure ongoing compliance.

Reporting: Prepare compliance reports and assist in management reporting to keep stakeholders informed.

Training support: Provide support during compliance training sessions and awareness programs to enhance team knowledge.

Regulatory updates: Stay current on regulatory changes and assist in implementing necessary updates to policies and procedures.

Who are they looking for?

Educational background: A Diploma or Degree in Finance, Business, Law, or a related discipline to provide a strong foundation for the role.

Experience level: Candidates with no prior experience are welcomed to apply. Previous experience in a financial advisory firm or compliance-related role is advantageous but not required.

Regulatory knowledge: Familiarity with MAS regulations (e.g., FAA, AML/CFT guidelines) is beneficial but not mandatory.

Attention to detail: Strong organizational skills and ability to manage deadlines are essential for success in this role.

Technical proficiency: Proficient in Microsoft Office (Word, Excel, PowerPoint) to efficiently handle daily tasks.

Professional integrity: A high level of integrity and professionalism to uphold the company's standards and reputation.

Other information

This is a 3-6months contract role, renewable or convertible.

Working Hours: Mon to Fri, 9am - 6pm

How to apply

Ready to join this role? Click Apply now to submit your resume and share your availability and expected salary with us!

We encourage applications from individuals of all backgrounds who are passionate about compliance and financial services.

All information received will be kept strictly confidential and will be used only for employment-related purposes.

Low Jia Yi | R25127265

#SmartHire

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