---

Introduction:

This role is to support the Chief Compliance Officer in ensuring that the company complies with regulatory requirements as well as internal policies. As a Compliance Officer, you will play a critical role in ensuring that the company operates in compliance with all applicable laws, regulations, and industry standards. You will be responsible for developing, implementing, and maintaining a comprehensive compliance program, as well as providing guidance and training to employees on compliance matters.

Responsibilities:

Conduct screening and due diligence review on prospects and referral partners before onboarding

Conduct ongoing monitoring on existing clients

Responsible for the implementation and enhancement of the Compliance framework within the company

Conduct post transaction review to ensure adherence to regulations and internal policies

Track the CPD training hours of the licensed representatives and maintain the record keeping

Prepare and maintain the compliance reports for management and regulatory reporting

Assess the Outsourced Service Providers and administer the Outsourcing Register of Outsourced Service Providers

Handle compliance related queries from staff

Develop, implement, and maintain a comprehensive compliance program that addresses all applicable laws, regulations, and industry standards.

Conduct risk assessments to identify potential compliance risks and develop mitigation strategies.

Develop and deliver compliance training programs to employees.

Monitor compliance with policies and procedures and conduct internal audits to identify areas of non-compliance.

Investigate and respond to compliance complaints and incidents.

Report compliance issues to senior management and regulatory authorities.

Stay up-to-date on changes in laws, regulations, and industry standards.

Collaborate with other departments to ensure that compliance is integrated into all aspects of the business.

Requirements:

Bachelors degree, preferably in Business , Finance related fields

Minimum 3 years of compliance experience in the financial services or insurance industry

Familiar with Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines or Balanced Scorecard (BSC) framework is an added advantage

Compliance certifications (e.g., Certified Compliance and Ethics Professional (CCEP)).

Experience with compliance software and tools.