about the company
Our client is a financial advisory entity of one of the world's largest insurance groups. They are looking for a Compliance Assistant Manager/Manager to ensure that all regulatory communications and inspections are attended on timely basis.
about the job
- Conduct regulatory mapping, gap analysis and attestation
- Ensure the effectiveness of the Balanced Scorecard Framework
- Monitor distribution representatives’ sales advisory / market conduct activities
- Provide compliance advice to various departments within the business on the laws and regulations
- Review the compliance controls on end-to-end sales process and provide recommendation for improvement where applicable
- Assist to review and implement compliance-related education programs for new representatives
- Conduct investigation into any market misconduct and/or complaints against representatives
- Assist in the monitoring of the overall AML framework
- To assist in personal data protection and data loss prevention projects
- Execute of risk management related activities, such as Business Continuity Exercises, due diligence of third-party engagements and conduct of Risk, Control Self-Assessment (RCSA) exercises
- Drive the culture and conduct initiatives rolled down from head office
- Any ad hoc assignments as assigned by Head of Compliance
...
about the manager/team
The incumbent will be reporting to the Head of Compliance.
skills and experience required
- Minimally 5-6 years of working experience in compliance-related work, i.e. regulatory, distribution and AML/CFT.
- Possess sound knowledge of FAA notices and other regulatory requirements affecting the FA industry.
- Sound knowledge in PDPA and risk management related functions such as outsourcing, business continuity and risk control self-assessment risks etc will be an added advantage.
- Possess relevant compliance certification will be an added advantage
- Excellent communication skills, both written and verbal, including the ability to communicate clearly with business units.
- Self-motivated and pro-active team player with strong problem-solving skills.
To apply online please use the 'apply' function, alternatively you may contact at .
(EA: 94C3609/ )