Synergy Financial Advisers Ltd. is seeking a Compliance Executive to support its Risk and Compliance department in ensuring adherence to regulatory requirements within the financial advisory industry. The role requires a detail-oriented individual with 2-5 years of compliance experience, strong analytical skills, and a commitment to ethical practices
Job Summary
The role involves ensuring the company functions legally and ethically while meeting business goals.
Responsibilities include handling complaints, conducting investigations, and reviewing marketing materials for compliance.
The position requires staying abreast of regulatory developments such as the Financial Advisers Act and Personal Data Protection Act.
Matching Summary
Match Score: 85
Synergy Financial Advisers Ltd. is seeking a Compliance Executive to support its Risk and Compliance department in ensuring adherence to regulatory requirements within the financial advisory industry. The role requires a detail-oriented individual with 2-5 years of compliance experience, strong analytical skills, and a commitment to ethical practices.
Skills & Requirements
Must-have
2-5 years compliance experience in FA industry
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
Positive attitude and willingness to learn
Experience in insurance industry compliance
Team player mentality
Key Requirements
Minimum Diploma qualification
2-5 years compliance background in financial advisory