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COMPLIANCE - Senior & Executive Positions Central Area

  Legal   (Item ID: 18429)

Legacy F.A. Pte Ltd:  We are in the business of insurance & financial advisory services.  We are seeking both senior and executive positions for a newly created department.  This is an exciting job opportunity, with excellent growth prospects, awaiting experienced Compliance Executives, whose roles include supporting the Management, with leadership, dedication, and experience for the development and maintenance of a strong insurance compliance culture and framework.


Some Main Responsibilities:

•   Establish & carry out the compliance plan covering initiatives, advisory, training & monitoring activities.

•   Facilitate the establishment, review & updating of internal rules, policies and guidelines to meet best practice regulatory & industry standards.

•   Provide responsive, sound and consistent compliance support on regulations and policies arising from enquiries on products/business initiatives.

•   Review impact & conduct quality assessment of sales advisory practices, new and/or amended regulations & provide feedback on proposed regulations.

•   Assist in the liaison and resolution of issues with regulators whenever they arise from regulatory inspections & other regulatory clarifications.



•  Degree or professional qualification in Compliance or Law or related fields or professional qualifications, for e.g. CFP, ChFC, CMFAS Modules 5, 8, 8A, 9, 9A, HI, with minimum 2 or 3 years’ experience in an insurance or banking compliance sector.


•  Knowledge of applicable insurance regulations such as requirements from the Financial Advisers’ Act, Banking Act, Securities and Futures Act, & other relevant financial services laws & regulations, compliance best practices & understanding of insurance products and systems.


•   Proficient in MS office applications.  •   Team player with ability to provide leadership & coach staff/advisors.  •   Excellent analytical & problem solving skills.  •   Good communication & presentation skills.



Interested candidates are requested to email their application with full resume to: The General Manager, c/o [email protected].  Please note that only successful candidates would be contacted for interview.

 Published date:

10/06/2015 3:44 pm

 Expiration date:



Central SG


Central Area


1 Magazine Road, #07-07/11 Central Mall


Job details

Hiring someone
Legacy Group Asia
2500 - 3500

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