Executive, Compliance (Market Conduct)
FINEXIS ADVISORY PTE. LTD.
S$3000 - S$4000
The main purpose of the Compliance Executive is to review if the Reps have met the stipulated competence and compliance standards, in accordance to industry guidelines and regulatory requirements.
- Conduct reviews to ensure that Reps have met the stipulated competence and compliance standards (i.e. Sales & Advisory Process and ensure documentations meet the FAA requirements)
- Perform client surveys to determine if Reps have met the stipulated standards relating to the FAA and general service standards
- Conduct investigations into complaints against Reps
- Perform trend analysis and prepare reports for Senior Management and MAS in a timely manner, documenting the findings of our reviews and the proposed actions to be taken
- Review and enhance existing processes to remain relevant and up to-date with changes in regulations and business practices
- Assist in any ad-hoc projects as assigned by the team lead or HOD.
- Degree in any discipline
- At least one (1) year of relevant experience in Compliance or Sales Advisory related fields (preferred)
- Good knowledge of Microsoft Excel (e.g. pivot table) and Tableau
- Knowledge of FAA requirements (preferred)
Closing on 10 Nov 2021orview more job listings from this company