IPP Financial Advisers Private Limited – Compliance Officer

Company
IPP Financial Advisers Private Limited
ippfa.com
Designation
Compliance Officer
Date Listed
09 Sep 2021
Job Type
Entry Level / Junior Executive
Full/Perm
Job Period
Immediate Start, Permanent
Profession
Banking / Finance
Industry
Finance
Location Name
Tanjong Pagar, Singapore
Address
Tanjong Pagar, Singapore
Map
Allowance / Remuneration
$2,400 - 3,350 monthly
Company Profile

We are one of the leading Licenced Financial Advisory Firm that has been providing financial planning services to clients for more than a decade. We provide a platform to groom and nurture talents in the area of compliance. The compliance role is to ensure that the company and its representatives conduct their business in compliance with the regulatory requirements.

Your Opportunities:

  • Experience a variety of challenges and have plenty of opportunities to interact with management and senior executives who will help and guide you in your compliance career.
  • Exposure to the various functions of the Compliance Department and opportunity to gain knowledge on normal regulatory requirements.


Job Description

Resposibilities:

  • - Oversee the full works of Balanced Scorecard (BSC) audit framework from the sample extraction, transaction reviews, client surveys and BSC reporting.
  • - Review of marketing materials to ensure comply with the relevant laws, regulations and company guidelines.
  • - On-boarding and conducting due diligence of introducers and distribution partners.
  • - Assist in complaint handling including replacement of policies cases.
  • - Provide guidance and support to business units on regulatory compliance matters. Compliance related matters
  • - Conduct training to business units and representatives on Compliance related matters.
  • - Assist in ad-hoc duties and projects assigned by Head of Department.

 

Requirements:

  • - No related working experience required, willing to learn
  • - Candidate must possess at least a diploma in business or finance related studies
  • - Prior experience in investigation, complaint handling or compliance role in financial service sector preferred
  • - Good knowledge of MAS and FAA rules and regulations and/or sales experience in the Financial Industry would be an advantage
  • - Good communication and presentation skills
  • - Proficient in MS office applications
  • - Ability to multi-task and prioritise whilst maintain standards and accuracy in deliverables
  • - Strong analytical skills, meticulous, self-motivated and a good problem-solver;
  • - Independent and able to work under pressure
  • - Keen to learn with a positive work attitude
This position is already closed and no longer available.  You may like to view the other latest internships here.

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