Compliance Executive

Location Singapore
Discipline Insurance
Job Reference BBBH146232_1736299145
Salary S$4000 - S$5000 per month + VB
Consultant Name Tng Wess Lee
Consultant Email [email protected]
Consultant Contact No. 6232 5255
EA License No. 02C3423
Consultant Registration No. R1551835


The Compliance team is seeking a Compliance Executive who will be responsible for ensuring that the company's representatives meet the stipulated competence and compliance standards, in accordance with industry guidelines and regulatory requirements. You will be part of a dedicated and focused team, tasked with working under strict deadlines to ensure that screenings and periodic reviews are completed within the stipulated timeline. You will report directly to the Deputy Head of Compliance.

Job Description

  • Conduct reviews to ensure that representatives have met the stipulated competence and compliance standards (i.e. Sales & Advisory Process and ensure documentations meet the FAA requirements)
  • Perform client surveys to determine if representatives have met the stipulated standards relating to the FAA and general service standards
  • Conduct investigations into complaints against representatives
  • Perform trend analysis and prepare reports for Senior Management and MAS in a timely manner, documenting the findings of our reviews and the proposed actions to be taken
  • Review and enhance existing processes to remain relevant and up to-date with changes in regulations and business practices
  • Assist in any ad-hoc projects as assigned by the team lead or Head of Department

Requirement

  • At least 2 to 3 years of relevant experience in AML, Compliance or Audit related fields would be preferred
  • Good knowledge of Microsoft Excel (e.g. pivot table) and Tableau
  • Knowledge of FAA requirements would be preferred
  • Good interpersonal and communication skills
  • Able to work independently

Tng Wess Lee License No.: 02C3423 Personnel Registration No.: R1551835

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