PURPOSE
As a Compliance Senior Executive, you will support the Risk & Compliance team in implementing and maintaining effective compliance and risk management frameworks, with an initial focus on financial crime and increasing attention on aspects of regulatory compliance and distribution compliance. The role will assist in monitoring, reviewing, and reporting on compliance activities, and contribute to knowledge transfer and process improvement initiatives.
KEY ACCOUNTAIBILITIES
- Assist in conducting second line of defence reviews across Distribution Compliance, Conduct, Regulatory Compliance, and related areas (e.g., cross-border sales, Anti-Bribery & Corruption, process and control effectiveness).
- Help ensure continuity of AML controls and standards during periods of transition or increased business activity.
- Help monitor controls to mitigate financial crime risks and participate in sample testing of controls.
- Contribute to the tracking, monitoring, and reporting of compliance activities, including maintaining registers and preparing regular updates for management.
- Support the identification and closure of compliance gaps or breaches, working with relevant business and operational units.
- Stay updated on regulatory developments (e.g., MAS, PDPC, Group directives) and assist in communicating relevant changes to the business.
- Participate in training and awareness initiatives for business units on compliance and financial crime topics.
- Provide administrative and project support for compliance initiatives as required.
QUALIFICATIONS / EXPERIENCE
- Degree or Diploma
- 1 to 3 years financial services industry/compliance/audit experience
- Reasonable understanding on Singapore regulatory environment or landscape
- Exposure to regulatory compliance, AML, or financial crime topics is an advantage
KNOWLEDGE, SKILLS & ABILITY
- Basic knowledge of compliance and risk management principles
- Good organizational and administrative skills.
- Strong attention to detail and willingness to learn.
- Effective communication and interpersonal skills.
- Ability to work collaboratively in a team environment.
- Proficiency in spoken and written English.