Manager / Assistant Manager, Risk Management & Compliance Manager / Assistant Manager, Risk Management &  …

Infinitum Financial Advisory Pte Ltd
in Singapore
Permanent, Full time
Be the first to apply
Competitive Salary, Bonus & Benefits
Infinitum Financial Advisory Pte Ltd
in Singapore
Permanent, Full time
Be the first to apply
Competitive Salary, Bonus & Benefits
A self-directed and independent individual to support the Head of Risk Management & Compliance (“RMC”) within the RMC department focusing on Regulatory Compliance aspects such as governance, risk management and market conduct requirements, in order to maintain a robust risk and compliance framework within Infinitum Financial Advisory.

Key Responsibilities:

  • Provide sound & constructive regulatory advice to business units on a timely basis, and keep abreast of policies & procedures, regulatory developments and best industry practices in relation to the Financial Advisory and/or Insurance space.
  • Timely dissemination of regulatory updates and implement requirements (if needed) with relevant business units as needed.
  • Responsible for implementation of Infinitum’s Outsourcing Policy.
  • Engage relevant business units to identify, assess, proactively manage gaps/breaches, implement, and track action items to completion, as part of Infinitum’s Risk and Control Self-Assessment and Compliance Risk Assessment exercise.
  • Liaise with MAS, product providers and/or internal and external auditors as required.
  • Track, monitor and facilitate submission of regulatory filing of forms/surveys/responses to the regulators within stipulated timelines.
  • Ensure that complaint handling and investigation conclusions are adequately and properly assessed, documented and reported in accordance with prevailing FAA-N14 and Market Conduct requirements.
  • Ensure our representatives meet the Fit and Proper Criteria in accordance to MAS Guidelines on an ongoing basis; review escalations, analyze, and provide appropriate solutions to facilitate representatives’ onboarding process, and to escalate gaps identified on a timely basis.
  • Perform assigned compliance monitoring checks as required.
  • Assists in the preparation of updates and reports to Senior Management and Group.
  • Maintain awareness of industry trends on regulatory compliance, and highlight potential concerns/risks and recommend appropriate steps to mitigate the risks.
  • Undertake any tasks as assigned from time to time.

Qualifications:

  • At least a Bachelor's degree or above.
  • At least 5 – 8 years Compliance-related experience in financial adviser/insurance-related industry.
  • Strong attention to detail.
  • Strong written and verbal communication skills with the ability to present analysis and recommendation.
  • Having prior financial advisory and/or insurance compliance experience will be an added advantage.
  • Sound technical Market Conduct regulatory knowledge and skills, with hands-on experience is an advantage.
  • Must be proficient in MS Office, Excel and applications.

Other Competencies and traits:

  • Self-initiated and possess critical thinking skills to increase efficiency.
  • Possess good communication (verbal and written) skills with a strong EQ.
  • Detailed-oriented, has a strong analytical mind with good problem-solving skills.
  • Has a self-motivated personality and a good team player.
  • Adaptable to changes.
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