全职 Compliance Associate 工作, 薪水, Professional Investment Advisory Services Pte Ltd 公司招聘中 - Ricebowl

The BSC Compliance & Audit Officer is responsible for ensuring adherence to BSC standards, processes, and regulatory requirements across all entities. This role involves conducting audits, managing client feedback mechanisms, supporting appeals processes, and providing guidance to financial advisers and branches on BSC-related matters. The officer plays a critical role in safeguarding compliance, enhancing client experience, and driving continuous improvement.

Key Responsibilities

• Post-Transaction Review Conduct BSC reviews of auditable transactions for each measurement quarter to ensure alignment with BSC standards and processes across entities
• Client Engagement Perform BSC client call-backs, trigger/send/review client survey forms, and follow up on service recovery rectifications to ensure timely completion
• Adviser & Branch Support Provide guidance to Financial Adviser Representatives and Branches on BSC-related matters, ensuring clarity and compliance
• Compliance Monitoring Perform regular, thematic, and ad-hoc audits to ensure compliance with relevant legislation, company policies, and procedures (e.g., review of switching/replacement of policies)
• Infractions & Lapses Reporting Prepare presentation materials highlighting common infractions and administrative lapses for awareness and training purposes
• Appeals Committee Support Provide secretarial support and related activities for the BSC Appeals Committee
• Mystery Shopping Review Review results from third-party mystery shopping exercises and finalize outcomes accordingly
• Regulatory Awareness Stay abreast of MAS/FAA and other related regulatory requirements to ensure organizational compliance
• Ad-hoc Duties Undertake any other tasks as assigned by the BSC Team Lead

Qualifications & Skills

• Bachelor’s degree in Finance, Business, Compliance, or related field
• Strong knowledge of MAS/FAA regulations and compliance framework
• Experience in audit, compliance, or financial services preferred
• Excellent communication and presentation skills
• Strong analytical and problem-solving abilities
• Ability to work independently and collaboratively across teams
• High attention to detail and organizational skills.