Regulatory Compliance Officer – Financial Advisory | 5 days - Up to $4.5k [0580]

THE SUPREME HR ADVISORY PTE. LTD.; Singapore; On-site; SGD 60,000 - 80,000; Full time

Job summary

A financial advisory firm in Singapore is seeking a Compliance Executive to ensure legal and ethical operations while meeting business goals. This role involves supporting the Risk and Compliance department, ensuring compliance with regulatory requirements, and conducting due diligence on new business relationships. Candidates should have at least an 'A' level or Diploma and experience in the financial advisory industry, with a preference for compliance qualifications. Proficiency in Microsoft Excel is essential.

Qualifications

• Minimum 'A' level or Diploma with experience in the financial advisory industry.
• Compliance qualification or experience in the FA or insurance industry is an advantage.
• Skillful use of Microsoft software, especially Excel.

Responsibilities

• Support the Risk and Compliance department.
• Ensure compliance with regulatory requirements, including audits and reporting.
• Communicate regulatory changes to the team.
• Conduct due diligence on new business relationships.

Skills

Experience in financial advisory industry

Compliance qualification

Proficient in Microsoft Excel

Education

Minimum 'A' level or Diploma

Job description

Working Location: Mountbatten Road
****Mid of Jan will move to new office - 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 candidatehas compliance qualification or experience in the FA or insurance industry.
• Familiar and skillful with the use of Microsoft software especially Excel.