*NEW* 4-6 Months Contract Compliance Executive

Ambition Group Singapore Pte. Ltd. (SG); Singapore; On-site; SGD 60,000 - 80,000; Full time

Job summary

A leading financial services firm in Singapore is looking for a compliance officer to monitor investment practices and ensure adherence to guidelines and regulations. The ideal candidate will have a diploma in finance or banking, relevant experience in regulatory compliance, and a proactive approach to addressing compliance issues. Join a dynamic team and contribute to maintaining high compliance standards.

Qualifications

• Some experience in regulatory, audit and/or asset management.
• Experience in Investment Compliance is an added advantage.
• Proactive in meeting regulatory obligations.

Responsibilities

• Conduct monitoring and surveillance programs related to investment.
• Ensure regulatory obligations are addressed proactively.
• Prepare compliance reports and maintain records.

Skills

Investment Compliance

Regulatory Knowledge

Audit Experience

Education

Diploma in Banking / Finance / equivalent

Tools

Bloomberg Compliance Manager

Job description

Job Duties:

• Conduct monitoring and surveillance programs with respect to investment guidelines, regulatory and client contractual obligations, policies and procedures, and best practice standards

• Ensure that regulatory and client contractual obligations are discharged in a proactive, effective and timely manner

• Conduct monitoring reviews to identify and address deviations

• Work with business areas to remediate errors, breaches and client complaints, and to ensure corrective actions are implemented to minimize future occurrence

• Maintain Compliance records, registers and files

• Ensure prompt escalation of significant issues to functional and business regional management

• Preparation of reports

• Other ad hoc duties as assigned

Job Requirements:

• Diploma in Banking / Finance / equivalent

• Some experience in regulatory, audit and/or asset management/financial services experience

• Experience in Investment Compliance and Bloomberg Compliance Manager is an added advantage

Interested applicants please send your resume in MS Words format and attention it to Tan Joanna (R1104661)

Short listed candidates will be notified

www.ambition.com.sg

EA Registration Number: R1104661

Data provided is for recruitment purposes only

Business Registration Number: 200611680D. Licence Number: 10C5117