Compliance (Senior) Executive

About the company

A prominent financial advisory firm in Singapore committed to operational excellence and continuous professional advancement for its talent.

About the job

This role offers a strategic opportunity to take end-to-end ownership of governance functions while serving as a trusted advisor to enable business growth across the organization.

• Lead comprehensive Balanced Scorecard audit processes, evaluating sales documentation and managing remediation workflows to ensure total regulatory alignment.

• Drive regulatory compliance mechanisms by interpreting FAA, PDPA, and MAS notices to ensure seamless operational implementation.

• Oversee full representative lifecycle governance, handling compliance approvals and risk assessments across onboarding, maintenance, and offboarding stages.

• Spearhead internal investigations into regulatory breaches and client grievances, conducting objective interviews and root-cause analyses.

• Optimize marketing governance and vendor management by evaluating promotional collateral and executing thorough due diligence on commercial partners.

About the manager/team

You will join an agile, collaborative risk and compliance team that values strategic partnership, offering direct exposure to senior leadership and cross-functional business stakeholders.

Skills and experience required

• In-depth command of MAS regulatory directives, including the Financial Advisers Act (FAA) and Personal Data Protection Act (PDPA).

• Proven track record in executing Balanced Scorecard (BSC) assessments and sales quality reviews within regulated environments.

• Established compliance background in the financial advisory or insurance sectors.

• Demonstrated resilience, sharp investigative capabilities, and a commitment to maintaining rigorous ethical standards under pressure.

• Strong stakeholder engagement ability to build constructive working relationships across diverse representative groups.

To apply online please use the 'apply' function, alternatively you may contact Lynette Lim.

(EA: 94C3609/ R1435181 )