Experience

AAM Advisory Pte Ltd

• Singapore
• Financial Services
• 1 - 100 Employee

• Senior Compliance Executive

  • Feb 2015 - Present

  Review daily BSC transactions submitted by AAM representatives and escalate exceptions to the Head of Compliance. Provide support to the Head of Compliance for execution of the AAM Compliance Plan and make a significant contribution to the effectiveness of the Compliance function. Assist Head of Compliance in matters delegated and provide prompt response where required Maintain professional and technical knowledge by attending educational workshops, reviewing professional publications and establishing personal networks Track individual representative’s Continuous Professional Development (CPD) records and update when training certificate are verified. Responsible for keeping updated file records in AAM, in particular the following - representative’s CPD records, register of representatives (for change in particulars) and marketing material register. Show less



OCBC

• Singapore
• Banking
• 700 & Above Employee

• Personal Financial Consultant

  • Jan 2014 - Dec 2014