Compliance Executive - #1096923

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.

This is a contract position with the potential for full-time conversion.