Compliance Executive

  • $3500 to $4500 per month
  • Singapore
  • Permanent, Full time
  • Legacy FA Pte Ltd
  • 02 Feb 18 2018-02-02

Legacy FA Pte. Ltd. is a financial advisory firm licensed by the Monetary Authority of Singapore under the Financial Advisers Act (Cap. 110). We are looking for experienced talents in the related field to join our compliance team as compliance executive.

Job scope:

  • Carry out Balanced Scorecard Audits
  • Assist in carrying out investigations on market conduct issues
  • Review of Marketing materials to meet regulatory requirements
  • Conduct training sessions
  • Undertake additional duties & projects as and when required


Requirement:

  • Degree and preferably with 1-3 years’ experience in a similar or related role
  • Familiar with the regulatory requirements will be advantageous
  • Strong interpersonal, communication and analytical skills
  • Independent and fast learner
  • Former or current financial adviser representatives with interest in compliance work