Risk & Compliance Executive | Financial Advisory - 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. in Singapore is seeking a Compliance Executive to oversee regulatory matters of a MAS-licensed financial advisory firm.

You will help ensure the company operates legally and ethically while achieving business goals. Based at Bras Basah Road, you will support the Risk and Compliance team, conduct regulatory reporting and due diligence on business partners, and communicate changes in regulations such as FA Act and PDPA.

Qualifications

• 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 with Microsoft Excel

Responsibilities

• Support the Risk and Compliance department.
• Ensure company complies with regulatory requirements including audits, regulatory reporting, misconduct investigations and administrative support.
• Communicate regulatory changes and support implementation; FA Act and PDPA awareness.
• Conduct due diligence on new business relationships and ongoing monitoring of partners.

Skills

Regulatory compliance

Education

A level or Diploma

Tools

Microsoft 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 candidatehas compliance qualification or experience in the FA or insurance industry.
• Familiar and skillful with the use of Microsoft software especially Excel.