Compliance Officer

-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

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