Compliance Executive

We are a licensed Financial Advisory firm in Singapore, committed to delivering quality financial solutions to our clients with integrity and professionalism. As part of our compliance team, you will play a vital role in upholding regulatory standards and ensuring our operations adhere to all applicable laws and guidelines.

Key Responsibilities:

• Conduct regular checks on representatives’ advisory documentation to ensure quality and compliance including AML screening.
• Assist in onboarding and offboarding processes for financial adviser representatives, including regulatory notifications to MAS.
• Track and follow up on outstanding compliance issues, audit findings, and representative declarations.
• Assist in monitoring the company’s compliance with the Financial Advisers Act, MAS Notices and Guidelines, and other applicable regulations.
• Support the review and approval process of marketing and sales materials.
• Help coordinate internal audits, inspections, and regulatory submissions.
• Maintain up-to-date records of representatives’ certifications, training, and CPD requirements.
• Prepare compliance reports and assist in management reporting.
• Provide support during compliance training sessions and awareness programs.
• Stay current on regulatory updates and assist in implementing necessary changes in policies and procedures.
• Perform administrative tasks related to compliance functions.

Requirements:

• Diploma or Degree in Finance, Business, Law, or related discipline.
• Fresh graduates are welcome; prior experience in a financial advisory firm or compliance-related role is an advantage.
• Familiarity with MAS regulations (e.g., FAA, AML/CFT guidelines) is an advantage.
• Strong attention to detail, organizational skills, and ability to manage deadlines.
• Good interpersonal and communication skills.
• Proficient in Microsoft Office (Word, Excel, PowerPoint).
• High level of integrity and professionalism.