Compliance Manager (5+ years) – Financial Services – Singapore recruitment

Job Responsibilities

  1. Responsible for establishing and maintaining an appropriate risk based compliance framework, policies and procedures.
  2. Maintain effective processes, including training, advice and support to ensure the policies and standards are effectively implemented.
  3. Assess the implications of new rules and regulations and direct the implementation of necessary changes.
  4. Undertake transactions surveillance to ensure compliance to legislation as well as internal policies and procedures.
  5. Conduct compliance monitoring and testing against regulatory requirements, industry best practice and internal policies and procedures.
  6. Review high risk and PEP account opening and periodic reviews, and carry out compliance assurance on normal risk account opening.
  7. Perform compliance reviews of the firm's marketing materials, product-related documents and client correspondence.
  8. Investigate and resolve clients' complaints.

Requirements and Qualifications

  1. Degree qualified in either business or accountancy or other related discipline.
  2. At least 5-7 years of relevant experience in compliance and regulatory practices.
  3. In-depth knowledge on Financial Advisers Act and Insurance Act.
  4. Good understanding of best practice risk management techniques and frameworks.
  5. Knowledge of wealth management products service offerings.

To comply with local laws, our Singapore office EA Licence No is: 10C4100.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.