Compliance Executive (FA, Insurance Industry)

Job Responsibilities:

• Support the Risk and Compliance department

• 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.

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.

HOW TO APPLY:

Interested applicants, kindly send your resume in MS WORD format or please click on Apply Now.

We regret only shortlisted candidates will be notified.

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