FA Compliance Executive - Balanced Scorecard Audit & Due Diligence - JL99

THE SUPREME HR ADVISORY PTE. LTD.; Singapore; On-site; SGD 39,000 - 50,000; Full time

Job summary

THE SUPREME HR ADVISORY PTE. LTD. on Bras Basah Road, Singapore, is seeking a Compliance Executive to ensure the company operates in a legal and ethical manner while supporting its business goals. Working hours are from 8am–5pm, with flexi options, Monday to Friday.

You will support the Risk and Compliance department, ensure regulatory compliance, and stay updated on developments. Due diligence on new business relationships is required.

Qualifications

• Minimum 'A' level or Diploma with experience in the financial advisory industry.
• Compliance qualification or experience in the FA or insurance industry is advantageous.
• Familiar with Microsoft Excel.

Responsibilities

• Support the Risk and Compliance department.
• Perform responsibilities to ensure company complies with regulatory requirements including balanced scorecard audits, regulatory reporting, misconduct investigation and administrative support.
• Communicate regulatory changes and support implementation; not limited to Financial Advisers Act, Personal Data Protection Act.
• Conduct due diligence on new business relationships and support ongoing due diligence requirements from business partners.

Education

A level or Diploma

Tools

Excel

Job description

Position

Compliance Executive

Working Location

Bras Basah Road

Working Hours

8am to 5pm/8.30am to 5.30pm/9am to 6pm/930am to 630pm (flexi)

Working Days

Monday - Friday

Salary Range

$3500 - $4500

Job Introduction

We are a local sizeable Financial Advisory firm licensed by MAS.

As our new compliance executive, you will ensure that the company functions in a legal and ethical manner while meeting its business goals.

Key Role(s), Responsibilities and Duties

• Support the Risk and Compliance department
• Perform responsibilities to ensure company complies with regulatory requirements which includes balanced scorecard audits, regulatory reporting, misconduct investigation and administrative support.
• Motivated to stay abreast of regulatory developments and take charge of communicating the changes and support implementation; not limited to Financial Advisers Act, Personal Data Protection Act.
• Conduct due diligence on new business relationships and support on-going due diligence requirements from business partners.

Requirements

• Minimum 'A' level or Diploma with experience in the financial advisory industry.
• Will be a clear advantage if candidate has compliance qualification or experience in the FA or insurance industry.
• Familiar and skillful with the use of Microsoft software especially Excel.