2-5 years compliance experience in financial advisory
Knowledge of financial advisers act and pdpa
Experience with regulatory reporting and audits
Synergy Financial Advisers Ltd. is seeking a Compliance Executive to support its Risk and Compliance department in ensuring legal and ethical operations while meeting business goals. The ideal candidate should have relevant compliance experience in the financial advisory industry, along with strong analytical, communication, and organizational skills
Job Summary
The role involves ensuring the company functions legally and ethically while meeting business goals through strict adherence to regulatory requirements.
Key responsibilities include processing recruitment of financial advisers, reviewing marketing materials, and conducting due diligence on business relationships.
The position requires staying abreast of regulatory developments such as the Financial Advisers Act and Personal Data Protection Act to support implementation.
Matching Summary
Match Score: 85
Synergy Financial Advisers Ltd. is seeking a Compliance Executive to support its Risk and Compliance department in ensuring legal and ethical operations while meeting business goals. The ideal candidate should have relevant compliance experience in the financial advisory industry, along with strong analytical, communication, and organizational skills.
Skills & Requirements
Must-have
2-5 years compliance experience in financial advisory
Knowledge of Financial Advisers Act and PDPA
Experience with regulatory reporting and audits
Ability to conduct investigative interviews
Meticulous attention to detail in documentation
Nice-to-have
Strong communication skills for stakeholder liaison
Adaptability to company culture and team collaboration
Positive attitude and willingness to learn
Experience in insurance industry compliance
Proven ability to work independently under pressure
Key Requirements
Minimum Diploma or equivalent academic qualification