Head, Front Office Compliance (Advisory & Practice Standards)

FINEXIS ADVISORY PTE. LTD.; Singapore; Hybrid; SGD 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Head of Department to lead its Advisory & Practice Standards team. This role is crucial in ensuring compliance with regulatory requirements while driving business objectives. You will spearhead collaboration across teams, transforming complex regulatory language into clear, actionable strategies. The ideal candidate will have extensive experience in the financial services sector and possess strong analytical and interpersonal skills. Join a dynamic environment that fosters collaboration and offers competitive remuneration and flexi-benefits.

Benefits

Competitive remuneration

Flexi-Benefits

Hybrid work week

Collaborative workplace environment

Opportunity to work with various teams

Qualifications

• 8+ years of experience in the insurance or financial services industry.
• Strong interpersonal skills to manage various stakeholders effectively.

Responsibilities

• Lead the Advisory & Practice Standards department to ensure regulatory compliance.
• Transform complex regulatory jargon into actionable solutions for the team.

Skills

Regulatory Compliance

Stakeholder Management

Analytical Skills

Strategic Thinking

Education

Bachelor's Degree in Finance or related field

Professional Certification in Financial Services

Job description

HERE’S A SHORT INTRO OF WHO WE ARE

Since 2005, Finexis has been more than just a financial services provider – we are lifelong confidantes, guiding clients through every stage of their financial journey. As the largest and fastest-growing independently-owned financial advisory firm in Singapore, we are proud to have over 900 consultants and staff, $1 billion in assets under advisory, and strategic partnerships that establish us as a market leader in personalized financial services.

We deliver tailored financial solutions in wealth management, investment planning, and risk management, all driven by our mission to impact lives beyond finance.

WHAT TO EXPECT

The Advisory & Practice Standards department is seeking a Head of Department to lead and execute the department’s strategy to ensure the firm balances compliance with applicable regulations and business requirements. The department ensures all regulatory requirements are met, enabling smooth and effective business operations.

This individual should understand the business's ‘pulse’ and the wider industry ecosystem in which the firm operates. He/She will need to be familiar with regulatory thinking and expectations, stay abreast of evolving regulatory requirements and best practices, and maintain an open mind to new ways of working. The department collaborates across internal silos and functions, establishing robust reporting and escalation frameworks, receiving support from the board, senior management, and managers, and managing communication with supervisors.

WHAT YOU’LL DO

Business Support:

• Spearhead and collaborate with various teams to understand business challenges and bridge regulatory requirements, ensuring alignment with organizational objectives.
• Translate complex regulatory jargon into clear, actionable language for operational teams.
• Apply a strategic approach to deconstruct complex issues into solutions focused on key priorities that drive business growth.

Marketing Clearance:

• Establish marketing clearance frameworks and SOPs across social media platforms to ensure compliance with company guidelines.
• Develop a comprehensive playbook for stakeholders, standardizing processes, guidance, and best practices for decision-making.
• Oversee a team to ensure thorough review of all marketing materials from internal stakeholders and agencies, maintaining accountability.

Policy Development and Implementation:

• Establish sales and advisory practices that comply with regulatory requirements without compromising operational efficiency.
• Govern conduct standards for appointed representatives and organizational leaders, ensuring adherence to policies.

WHO YOU ARE

• At least 8 years’ relevant experience in the insurance or financial services industry.
• Highly disciplined, independent, organized, result-oriented, and analytical.
• Self-driven with a proven track record of exceeding goals in dynamic environments.
• Strong interpersonal skills for stakeholder management.
• Ability to thrive in a fluid, changing environment.

WHAT’S IN IT FOR YOU

• Competitive remuneration
• Flexi-Benefits
• Hybrid work week
• A collaborative workplace environment
• Opportunities to work with various teams