Compliance Executive
3500 - 4500 SGDFull-time
SYNERGY FINANCIAL ADVISERS LTD.
Job Introduction:
Established and rapidly growing company seeks a compliance officer to work in a team to fulfil its functions for the smooth running of the company. As our new compliance executive, you will ensure that the company functions in a legal and ethical manner while meeting its business goals.
Job Responsibilities:
- Support the Risk and Compliance department of SYNERGY.
- Perform responsibilities to ensure company complies with regulatory requirements which include balanced scorecard audits, regulatory reporting, complaints handling, investigation and resolutions.
- Processing recruitment and cessation of financial adviser representatives.
- Reviewing and approval of marketing materials.
- 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.
- Any other tasks assigned by Management.
- This role reports directly to the Head of Risk and Compliance.
Job Requirements:
- Minimum academic qualification of a Diploma or equivalent.
- At least two (2) to five (5) years’ in working within compliance background in financial advisory (FA) industry, preferably if he or she has compliance qualification or experiences in the FA or insurance industry.
- Able to handle documentation work with an eye for details.
- Skilled at conducting investigative interviews and strong analytical skills.
- Familiar with Financial Advisers Act and Regulations, Personal Data Protection Act, MAS notices and guidelines.
- Must be meticulous and able to multi-task competing priorities whilst maintaining a high degree of accuracy and attention to details.
- High regard for ethics and integrity in discharging all functions.
- Strong communication skills to liaise with different stakeholders.
- Diligent, able to work independently and under pressure.
- Willing to learn, positive attitude, curious, adaptability to SYNERGY culture and a team player.
Vacancy posted 8 days ago
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