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  3. Compliance Officer

Compliance Officer

Negotiable / Unpublished

  • RGF HR Agent
  • Location: Other parts of Singapore
  • Japanese level:Uncategorized │Required length of experience:Uncategorized
  • Close
Date:2016/10/06~2017/11/06

Job summary

Job category Professional (Consulting / Finance / Real Estate / Professional Services)/Finance
Industry Finance/ Insurance (Life Insurance / General Insurance)
Employment type Uncategorized
Position level Director or Above
Number of openings 1
Desired entry time -
Required language skill
Foreign language competence -
Working hours Others
Welfares / Leave systems

Work details

-Excellent career prospects 
-Attractive remuneration
-Compliance experience in insurance industry is a must


•Review, develop and execute compliance testing program;
•Review existing AML/ CTF framework and internal policies to replicate expectation of the Regulator;
•Conduct AML/ CTF and other Compliance Training for Financial Advisors and other member of staff;
•Execute core compliance process and keeping the senior management updated of the changing legislation and legislative amendments;
•Provide legal and compliance advice to the company including responding to ad hoc requests and marketing events;
•Conduct internal audit checks on pre and post transaction documentation;
•Be the main point of contact with the Financial Dispute Resolution Centre;
•Prepare document bundle and attend adjudication at the FIDReC office whenever a complain arises;
•Conduct complains handling, including the collection and analysis of documents and interviewing the relevant Financial Advisory member of staff, including contacting former Advisors;
•Oversee the Company’s Balance Scorecard (“BSC”) framework and improve on the internal policies set in place. Briefing the Advisors of the duties and expectation under the BSC Framework;
•Draft monitoring review reports and representative quarterly BSC Report for Review and submission to the Regulator;
•Liaise with the Professional Indemnity Insurer and negotiate directly to secure insurance renewal and coverage for the company;
•Conduct AML/ CTF checks for new business;
•Be responsible over day to day AML/CTF ongoing monitoring and review. Be familiar with Thomson Reuters World Check;
•Lodge Representative notification to the MAS;
•Apply for new Representative License Notifications with the MAS;
•Lodge Representative Misconduct Report and annual Nil Declaration Report;
•Review external company contracts and such other documents for legality and suitability to the Company
•Generate monthly Exposure file using data downloaded from Company
•Be main point of contact between Financial Advisors and Paraplanners to handling Admin enquiry and generate new business documents
•Due diligence checks for Financial Advisers


About interview

Liaison

SingaporeOther parts of Singapore Map



Name of person in charge of hiring:

Compliance Officer

RGF HR Agent

Negotiable / Unpublished

Close

Company overview

RGF HR AgentCompliance Officer RGF HR AgentCompliance Officer

RGF HR Agent

Human Resources / Education / Consulting / Professional Services /Staffing / Recruiting

RGF (Recruit Global Family) is the overseas corporation of Recruit Holdings Co., Ltd., Japan's largest talent comprehensive service and information service group enterprise, has started for more than 50 years, based on excellent business philosophy and management experience. Transcend national borders, we will discover new opportunities and possibilities worldwide.
RGF HR Agent provides solid support for the hiring activities of companies and the job-hunting activities of applicants as a general HR service company.
We provide not only regular recruitment but also RPO (Recruitment Process Outsourcing), contracts and so on. We deliver comprehensive services that could only be offered by RECRUIT=RGF, which is number one in Japan in the field of talent introduction, temporary staffing and recruitment information advertising. Having thoroughly met the needs of leading companies in Japan, we will also provide our consummate, high-quality services overseas. RECRUIT=RGF, which is number one in Japan, will continue taking on the challenge of becoming number one in the world.

JAPAN: RGF HR Agent Japan (CDS)
Address: 東京都渋谷区広尾1-13-7恵比寿イーストビル2F
TEL (+81)3-6422-4400
Website: http://www.rgf-hragent.asia/en/japan

CHINA: RGF HR Agent (Shanghai)
Address: 上海市淮海中路8号 蘭生大厦9F
TEL (+86) 21 5331 8000
Website: http://www.rgf-hragent.asia/china

CHINA: RGF HR Agent (Suzhou)
Address: 蘇州市工業園区蘇州大道西1号 世紀金融大厦1615室
TEL (+86) 512 6262 3595
Website: http://www.rgf-hragent.asia/china

CHINA: RGF HR Agent (Beijing)
Address: 北京市朝陽区東三環中路39号建外SOHO,A座902室
TEL (+86) 10 5869 0121
Website: http://www.rgf-hragent.asia/china

CHINA: RGF HR Agent (Tianjin)
Address: 天津市和平区南京路189号津汇広場一号楼1106单元
TEL (+86) 22 2331 1169
Website: http://www.rgf-hragent.asia/china

CHINA: RGF HR Agent (Dalian)
Address: 大连市高新技术产业园区黄浦路537号(七贤路)泰德大厦811室
TEL (+86) 411 8445 7095
Website: http://www.rgf-hragent.asia/china

CHINA: RGF HR Agent (Guangzhou)
Address: 广州市天河区林和西路161号 中泰国际广场A塔1309室
TEL (+86) 20 8527 4585
Website: http://www.rgf-hragent.asia/china

CHINA: RGF HR Agent (Shenzhen)
Address: 深圳市罗湖区嘉宾路2018号深华商业大厦2507室
TEL (+86) 755 8237 5208
Website: http://www.rgf-hragent.asia/china

HONGKONG: RGF HR Agent Hong Kong Limited
Address: Unit 2206, 22/F, Wu Chung House, 213 Queen’s Road East, Wan Chai, Hong Kong
TEL (+852) 2537 2557
Website: http://www.rgf-hragent.asia/en/hongkong

VIETNAM: RGF HR Agent Vietnam Co., Ltd.
Address: RM903 Central Plaza 17 Le Duan St., Dist 1 Ho Chi Minh City
TEL (+84) 8 3911 5800
Website: http://www.rgf-hragent.asia/en/vietnam

THAILAND: RGF HR Agent Recruitment (Thailand) Co., Ltd.
Address: 689 BHIRAJ TOWER at EmQuartier, 23rd Floor, Room No. 2304-2306 Sukhumvit Road, North Klongton Sub-District, Vadhana District, Bangkok 10110
TEL (+66)2-021-0333
Website: http://www.rgf-hragent.asia/thailand/

SINGAPORE: RGF HR Agent Singapore Pte. Ltd.
Address: 71 Robinson Road #05-04 Singapore 068895
TEL (+65) 6221 7437
Website: http://www.rgf-hr.com.sg/

INDIA: RGF Select India Private Limited
Address: 704-705-706, 7th Floor, Vatika City Point, MGRoad, Gurgaon 122002
TEL (+91)124 4139711
Website: http://www.rgf-hragent.asia/en/india

INDONESIA: PT. RGF Human Resources Agent Indonesia
Address: Jakarta Office: Graha Pratama, P1F (21F), Jl. M.T.Haryono Kav. 15, Jakarta 12810, Indonesia
TEL (+62) 21 8378 2866
Website: http://www.rgf-hragent.asia/en/indonesia

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