IPP Financial Advisers Pte Ltd – Compliance Officer RNF

Company
IPP Financial Advisers Pte Ltd
ippfa.com
Designation
Compliance Officer RNF
Date Listed
10 May 2022
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
$2,600 - 3,000 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 with the regulatory requirements. 

Job Description

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 local regulatory requirements.


Job Duties Include:-

  • Responsible to conduct due diligence checks and review of documentations for the appointment of representatives; conduct checks on the minimum qualification, fit and propriety assessment on candidates prior to lodgment with MAS.
  • Assist and conduct annual declaration exercise for representatives.
  • Ensure the proper review and timely submission of documents by the Financial Consultants, i.e. outside work arrangement, acquisition of shareholdings etc.
  • Monitoring of disciplinary actions taken and preparation of disciplinary letters issued to representatives.
  • Provide on-going advice to business units & representatives and enhance existing processes to ensure adherence to new/revised regulatory requirements and internal policies.
  • Conduct training to business units and representatives on Compliance related matters.
  • Assists in the review of marketing materials by representatives prior to publication.
  • Assist in any other assignment, duties and projects assigned by Head of Department.


Requirements:-

  • Preferably with the minimum 1 year experience in Financial Institutions (Financial Adviser, Insurance Companies or Banks)
  • Candidates must possess at least a diploma from a reputable institution.
  • Ability to work effectively with others, be prepared to take a supportive role where required.
  • Keen to learn with a positive work attitude.
  • Ability to act with tenacity and diplomacy.
  • Independent, meticulous, adaptable with ability to work under pressure.
  • Candidate who is familiar with the Securities and Futures Act, Financial Advisers Act and related legislation will be an added advantage.
  • Salary and terms are negotiable depending on qualifications and experience.
This position is already closed and no longer available.  You may like to view the other latest internships here.

Related Job Searches:

Discuss this Job:

You can discuss this job on Clublance.com #career-jobs channel, or chat with other community members for free:
Share This Page