AAM Advisory Pte Ltd – Compliance Executive

As a Compliance Executive, a typical day might include the following:

Review daily transactions submitted by AAM representatives and escalate exceptions to the Head of Compliance.

Provide support to the Head of Compliance for execution of the AAM Compliance Plan and make a significant contribution to the effectiveness of the Compliance function.

Assist Head of Compliance in matters delegated and provide prompt response where required

Maintain professional and technical knowledge by attending educational workshops, reviewing professional publications and establishing personal networks

Track individual representative’s Continuous Professional Development (CPD) records and update when training certificate are verified.

Responsible for keeping updated file records in AAM, in particular the following - representative’s CPD records, register of representatives (for change in particulars) and marketing material register.

This job may be for you if you:

Have previous experience in Compliance (1-2 years)

Foster positive working relationships and good rapport with various department including sales and operations.

Are a self-motivated individual who is able to work with minimal supervision.

Analytical

Take ownership help build an effective compliance team.

Pay Attention to the details.

Communicate clearly both verbally and written in English.  

Motivated and driven.

Like helping people and can remain calm under pressure.