COMPLIANCE OFFICER

The company is a Financial Consultancy, a Trusted partner to private banks, trustees, family offices, and other experts, serving over 50,000 clients globally, particularly in Asia-Pacific. Collaborating with 30+ insurers, they have closed over 30,000 cases, providing personalized wealth preservation and legacy planning solutions for affluent and ultra-high-net-worth families.

About the Role:

COMPLIANCE OFFICER

Ensuring adherence to all applicable regulatory requirements and internal policies. This critical role involves developing, implementing, and maintaining a comprehensive compliance program, as well as providing guidance and training to employees on compliance matters.

Key Responsibilities:

• Onboarding & Monitoring: Conduct due diligence on prospects and referral partners, and perform ongoing monitoring of existing clients.
• Compliance Framework: Implement and enhance the company's compliance framework.
• Transaction Reviews: Conduct post-transaction reviews to ensure adherence to regulations and internal policies.
• CPD Management: Track and maintain records of licensed representatives' Continuing Professional Development (CPD) hours.
• Reporting: Prepare and maintain compliance reports for management and regulatory bodies.
• Vendor Management: Assess outsourced service providers and administer the Outsourcing Register.
• Compliance Support: Address compliance-related queries from staff.
• Compliance Program Development: Develop, implement, and maintain a comprehensive compliance program encompassing all applicable laws, regulations, and industry standards.
• Risk Assessment: Conduct risk assessments and develop mitigation strategies.
• Training: Develop and deliver compliance training programs.
• Monitoring & Audits: Monitor compliance, conduct internal audits, and identify areas of non-compliance.
• Incident Management: Investigate and respond to compliance complaints and incidents.
• Reporting: Report compliance issues to senior management and regulatory authorities.
• Regulatory Updates: Stay up-to-date on changes in laws, regulations, and industry standards.
• Collaboration: Collaborate with other departments to integrate compliance into all business aspects.

Requirements:

• Bachelor's degree, preferably in Business, Finance, or a related field.
• Minimum 3 years of compliance experience in the financial services or insurance industry.
• Familiarity with the Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines, or Balanced Scorecard (BSC) framework is a strong advantage.
• Compliance certifications (e.g., Certified Compliance and Ethics Professional (CCEP)) are highly desirable.

Please forward resume to [email protected]

The company is a Financial Consultancy, a Trusted partner to private banks, trustees, family offices, and other experts, serving over 50,000 clients globally, particularly in Asia-Pacific. Collaborating with 30+ insurers, they have closed over 30,000 cases, providing personalized wealth preservation and legacy planning solutions for affluent and ultra-high-net-worth families.

About the Role:

COMPLIANCE OFFICER

Ensuring adherence to all applicable regulatory requirements and internal policies. This critical role involves developing, implementing, and maintaining a comprehensive compliance program, as well as providing guidance and training to employees on compliance matters.

Key Responsibilities:

• Onboarding & Monitoring: Conduct due diligence on prospects and referral partners, and perform ongoing monitoring of existing clients.
• Compliance Framework: Implement and enhance the company's compliance framework.
• Transaction Reviews: Conduct post-transaction reviews to ensure adherence to regulations and internal policies.
• CPD Management: Track and maintain records of licensed representatives' Continuing Professional Development (CPD) hours.
• Reporting: Prepare and maintain compliance reports for management and regulatory bodies.
• Vendor Management: Assess outsourced service providers and administer the Outsourcing Register.
• Compliance Support: Address compliance-related queries from staff.
• Compliance Program Development: Develop, implement, and maintain a comprehensive compliance program encompassing all applicable laws, regulations, and industry standards.
• Risk Assessment: Conduct risk assessments and develop mitigation strategies.
• Training: Develop and deliver compliance training programs.
• Monitoring & Audits: Monitor compliance, conduct internal audits, and identify areas of non-compliance.
• Incident Management: Investigate and respond to compliance complaints and incidents.
• Reporting: Report compliance issues to senior management and regulatory authorities.
• Regulatory Updates: Stay up-to-date on changes in laws, regulations, and industry standards.
• Collaboration: Collaborate with other departments to integrate compliance into all business aspects.

Requirements:

• Bachelor's degree, preferably in Business, Finance, or a related field.
• Minimum 3 years of compliance experience in the financial services or insurance industry.
• Familiarity with the Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines, or Balanced Scorecard (BSC) framework is a strong advantage.
• Compliance certifications (e.g., Certified Compliance and Ethics Professional (CCEP)) are highly desirable.

Please forward resume to [email protected]