Position: Compliance Officer

Location: Singapore

Industry: Financial Services

Employment Type: Full-time

About the Company:

NEBA Private Clients are a leading financial advisory firm in Singapore with offices around the world, committed to providing sound financial solutions to clients. We strive to uphold the highest standards of integrity, compliance, and customer satisfaction. As part of our continued growth and commitment to regulatory excellence, we are seeking a qualified and experienced Compliance Officer to join our team.

Job Description:

The Compliance Officer will play a critical role in ensuring that our financial advisory services adhere to the regulatory requirements set by the Monetary Authority of Singapore (MAS) and other relevant authorities. The successful candidate will also fulfil the same role for our Labuan licensed entity and co-located office in Kuala Lumpur. They will be responsible for the ongoing monitoring and implementation of compliance programs and policies to safeguard the firm's business operations.

Key Responsibilities:

• Develop, implement, and maintain compliance frameworks and procedures to ensure adherence to regulatory requirements, particularly MAS regulations and LFSA regulations.
• Provide advice and guidance on regulatory matters to senior management, financial advisers, and staff.
• Conduct regular compliance monitoring and audits of financial advisory practices and business activities.
• Review and assess client-facing materials to ensure compliance with legal and regulatory standards.
• Assist with the preparation and submission of compliance reports to regulatory authorities.
• Develop and deliver compliance training to staff and advisers to ensure awareness of regulatory requirements.
• Stay up to date with changes in financial regulations and industry best practices.
• Handle investigations and resolve compliance issues or breaches in a timely and professional manner.
• Collaborate with other internal departments to support overall business objectives while ensuring compliance.

Qualifications & Requirements:

• Bachelor's degree in Law, Finance, Accounting, or a related field.
• Relevant certifications (e.g., Capital Markets and Financial Advisory Services (CMFAS) certification) are highly preferred.
• Minimum 3-5 years of experience in a compliance or regulatory role within the financial advisory industry.
• Strong knowledge of MAS regulations, financial advisory industry practices, and relevant compliance frameworks.
• Excellent analytical, communication, and problem-solving skills.
• Detail-oriented with a high level of integrity and professional ethics.
• Ability to work independently as well as collaboratively in a team environment.
• Proficient in Microsoft Office Suite and compliance management systems.

Why Join Us:

• Competitive salary and benefits package.
• Opportunities for professional development and career growth.
• A collaborative and dynamic working environment.
• Be part of an organization that values compliance, integrity, and client success.