Professional Investment Advisory Services Pte Ltd (PIAS) has one of the largest, most respected and fastest growing network of financial advisers in Singapore. PIAS is wholly owned by Singapore Life Ltd (Singlife). Established in 2001 and licensed by the Monetary Authority of Singapore, PIAS is a multi-award winning financial advisory firm in Singapore and offers a diversified suite of financial services and solutions with a personalized approach.
General Description:
Assisting Head of Risk Management & Compliance and Team Lead Market Conduct in development and implementation of framework, process and best practices to maintain and/or mitigate any regulatory risk to acceptable standards.
Key Accountabilities:
Balance Scorecard:
- Annual / Timely review of group compliance BSC framework, policies and procedures and ensure alignment of BSC standards and processes across entities.
- Collation, scrubbing of BSC data and distribution of BSC transactions.
- Conduct Post Transaction BSC Review for each BSC measurement quarter in alignment with the BSC standards and processes across entities.
- Any other adhoc duties as advised by Management.
Compliant Handling Resolution:
- To assess and investigation into the complaints lodged by Clients, product providers and Authority/ escalations by other Business Units independently.
- Assist the Market Conduct Lead in the review of investigation report to ensure objective analysis & the appropriateness of the disciplinary and remediation actions.
- Drafting and the issuance of investigation outcome letters to Client, Representatives, Product Provider and Authority.
Other Ad-hoc Duties:
- Handle Representatives/Branches and/or internal staffs queries on compliance-related matters confidently, accurately and promptly.
- Prepare and compile training presentation on specified topics relating to market conduct issues, as and when required.
Requirement
- Bachelor Degree in relevant field
- Minimum of 5 years experience either in audit, financial crime, fraud investigation, AML, KYC etc.
If you find yourself able to demonstrate the criteria above, apply with us now. We look forward to your application.
