Regulatory Compliance Manager

ARE YOU SEEKING FOR GROWTH YET YOU WANT A FULFILLING CAREER?

Be ready to embark on a journey which offers you an exciting opportunity!

HERE’S A SHORT INTRO OF WHO WE ARE

Since 2005, finexis has been more than just a financial services provider – we are lifelong confidantes, guiding clients through every stage of their financial journey. As the largest and fastest growing independently-owned financial advisory firm in Singapore, we are proud to have over 900 consultants and staff, $1 billion in assets under advisory, and strategic partnerships, that establish us as a market leader in personalised financial services.

We deliver tailored financial solutions in wealth management, investment planning, and risk management, all driven by our mission to impact lives beyond finance.

WHAT TO EXPECT

The Regulatory team is part of the Compliance department, and is primarily responsible to ensure that the Company is in adherence to all relevant laws and regulations. You will be part of a dynamic and driven team, and have the opportunity to work with various stakeholders, including but not limited to our partners, clients and regulators. You will report directly to the Head of Compliance.

If this is what you are looking for, look no further and be ready to take this leap of faith by giving your 120%! This is just the beginning as we are excited to work with you to shape this into something extraordinary!

WHAT YOU’LL DO

• Lead the Regulatory team to ensure day-to-day deliverables are completed per expectations
• Prepare regular and ad-hoc reports to management and key stakeholders
• Perform regular and ad-hoc assurance reviews
• Assist in developing, enhancing and implementing policies, procedures and control assessments
• Conduct trainings on a regular basis to enhance competency of the employees and agency
• Ensure the Company is in compliance with all relevant laws and regulations (e.g. notices and circulars) issued by the Authorities

WHO YOU ARE

• Degree with at least 5 years of regulatory compliance or audit roles in the financial industry
• Ability to multitask, work under pressure and remain agile in a fast-paced environment
• Resourceful and a strong team player
• Good report writing and presentation deck preparation abilities
• Strong communication skills
• Understanding of the relevant regulations, including the FAA and LIA guidelines
• Critical thinking
• Time management and prioritisation
• Responsible and takes personal ownership
• Positive mindset