Executive, Compliance (Market Conduct)

FINEXIS ADVISORY PTE. LTD.
  • Job category
    Insurance, Legal
  • Job level
    Junior Executive
  • Contract type
    Full Time
  • Location
    Central
  • Salary
    S$3000 - S$4000

Job Description

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.


Job Responsibilities

  • 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.

Job Requirements

  • 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 2021

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