Our client is a leading HNW insurance brokerage firm specializing in bespoke insurance solutions for affluent individuals, families, and businesses.
Key Responsibilities
- Conduct screening and due diligence on prospects and referral partners prior to onboarding
- Perform ongoing monitoring of existing clients to ensure compliance standards are met
- Support the implementation, review, and enhancement of the Compliance framework
- Carry out post-transaction reviews to ensure adherence to regulatory requirements, balanced scorecard standards, and internal policies
- Track and maintain records of licensed representatives CPD training hours
- Prepare compliance reports for management review and regulatory submissions
- Assess outsourced service providers and manage the Outsourcing Register
- Provide guidance and handle compliance-related queries from staff
Requirements
- Bachelor's degree, preferably in Business or related disciplines
- At least 3 years of compliance experience within the financial services or insurance industry
- Strong analytical, problem-solving, and organizational skills with attention to detail
- Ability to work independently, with a proactive and self-motivated mindset
- Excellent communication and interpersonal skills
- Ability to read and understand Chinese articles
- Knowledge of the Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines, or the Balanced Scorecard (BSC) framework will be an advantage
Lily Yang, Recruit Avenue Pte. Ltd.
EA License Number: 23C1935 | EA Personnel Number: R1551292
