IPP Financial Advisers Pte Ltd – Compliance Officer RNF

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.