Executive, Compliance

finexis advisory Pte Ltd; Singapore; On-site; SGD 80,000 - 100,000; Full time

Job summary

Join a leading financial advisory firm in Singapore as a Compliance Executive. You'll ensure compliance with industry standards and regulations while working with a dedicated team to enhance current processes. This role provides a dynamic work environment with opportunities for growth and collaboration.

Benefits

Competitive remuneration

Flexi-Benefits

Hybrid work week

Collaborative work environment

Opportunity to work with various teams

Qualifications

• At least one year of relevant experience in AML, Compliance or Audit preferred.
• Fresh graduates may be considered.
• Knowledge of FAA requirements preferred.

Responsibilities

• Conduct reviews to ensure representatives meet compliance standards.
• Perform client surveys and conduct investigations into complaints.
• Prepare reports for Senior Management and MAS in a timely manner.

Skills

Good interpersonal skills

Communication skills

Knowledge of Microsoft Excel

Knowledge of Tableau

Job description

ARE YOU SEEKING FOR GROWTH YET YOU WANT A FULFILLING CAREER?

Be ready to embark on a journey which offers you an exciting opportunity.

HERE’S A SHORT INTRO OF WHO WE ARE

Since our incorporation in 2005, finexis has grown to become a leading homegrown financial advisory firm in Singapore licensed by the Monetary Authority of Singapore, with assets under advisory of almost S$1 billion. Our strategic partnerships, extensive portfolio of leading financial solutions, strength of more than 900 financial consultants and support staff have enabled us to become a market leader in the field of specialised financial services.

WHAT TO EXPECT

The Compliance team is seeking a Compliance Executive who will be responsible for ensuring that the company’s representatives meet the stipulated competence and compliance standards, in accordance with industry guidelines and regulatory requirements. You will be part of a dedicated and focused team, tasked with working under strict deadlines to ensure that screenings and periodic reviews are completed within the stipulated timeline. You will report directly to the Deputy Head of Compliance.

If this is what you are looking for, look no further and be ready to take this leap of faith by giving your 120%! This is just the beginning as we are excited to work with you to shape this into something extraordinary!

WHAT YOU’LL DO

• Conduct reviews to ensure that representatives have met the stipulated competence and compliance standards (i.e. Sales & Advisory Process and ensure documentations meet the FAA requirements)
• Perform client surveys to determine if representatives have met the stipulated standards relating to the FAA and general service standards
• Conduct investigations into complaints against representatives
• Perform trend analysis and prepare reports for Senior Management and MAS in a timely manner, documenting the findings of our reviews and the proposed actions to be taken
• Review and enhance existing processes to remain relevant and up to-date with changes in regulations and business practices
• Assist in any ad-hoc projects as assigned by the team lead or Head of Department

WHO YOU ARE

• At least one (1) year of relevant experience in AML, Compliance or Audit related fields would be preferred
• Fresh graduates may be considered
• Good knowledge of Microsoft Excel (e.g. pivot table) and Tableau
• Knowledge of FAA requirements would be preferred
• Good interpersonal and communication skills
• Able to work independently

WHAT’S IN IT FOR YOU

• Competitive remuneration
• Flexi-Benefits
• Hybrid work week
• A workplace environment that fosters collaboration and interactions with others
• Opportunity to work with various teams

Does this sound like you?

Connect with us at [e-mail], with your recent CV.