No price

Compliance Manager / Executive (Part time, 1 year contract, flexible working arrangement)

  Legal   (Item ID: 15075)

About our company


As wealth consultants, we help high net worth individuals source for customised solutions to meet their requirements and specific goals.  We work closely with our strategic alliances and major financial institutions to offer a comprehensive suite of solutions for our clients. 


We strongly believe in building long term relationships with our clients that will grow over time and helping them attain more success in life.


Job responsibilities

Law and regulation

  • Assessing and responding to the relevant legal, regulations and statutory changes and advising management on the relevant rectification
  • Liaising and coordinating with professions, e.g. lawyers and relevant authorities, to ensure that the Company is compliant with all relevant legal, regulatory and statutory requirements
  • Advising on licensing requirement of the company and relevant staff

Company Policies and Procedures

·      Developing, updating and implementing compliance policies and procedures in accordance to the current rules and regulations and ensuring that the business  is compliant in all aspects

·      Developing, updating and implementing the policies and procedures on due diligence and background check (e.g. Know Your Customers KYC, and etc) and anti-money laundering (AML)

·      Developing, reviewing and delivering compliance training to employees and independent contractors

·      Investigating and handle actual and potential compliance breaches and reportingall compliance issues and breaches (e.g. suspicious transactions) to management

·      Providing compliance advisory support to internal staffs

·      Reviewing product launches, disclosures and sales literature

·      Developing and implementing data protection policies and procedures

·      Maintaining company’s policies and procedure database

Internal Auditing and Controls

  • Developing, updating, implementing audit program and internal control policy and procedures
  • Conducting periodic independent compliance / audit checks and highlight inadequacies and weakness to management


Client complaints handling

  • Handling client disputes and legal claims
  • Conducting investigations into client complaints
  • Ensuring complaints are recorded and responded to within regulatoryguidelines


Preferred Qualification

Ability to work under pressure



Bachelor degree holders



Fluent in communicating with stakeholders in spoken and written English and Chinese

Follow through until objectives are met

Good communication and interpersonal skills

Good problem-solving skills

Good team player

Good telephone etiquette

High level of Integrity

High standard of business ethics





Positive attitude


Proficient in Microsoft Office





Strong sense of urgency


Take ownership of problems and solve the problems




We invite all interested and qualified candidates to apply for this employment opportunity. Please send your detailed resume with a recent photograph to our Director at [email protected] today. We apologise that only shortlisted candidates will be notified.

We offer a competitive reward package and flexible working arrangements.




Job details

Hiring someone

 Published date:

21/12/2014 5:49 pm

 Expiration date:



Central SG

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