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Licensed financial advisers · Singapore

Compliance support for licensed financial advisers in Singapore.

Give recurring compliance work a clear owner, evidence trail and management discussion. Advisors Assemble works with licensed financial advisers on selected policy, monitoring and reporting workstreams, with practical support from the founder.

Discuss your compliance needs

Who it is for

Support shaped around how your firm works.

This support may be useful if you are:

  • Licensed financial-adviser firms seeking external review and advisory support alongside their internal arrangements.
  • Management teams organising recurring monitoring, management reporting and follow-up actions.
  • Firms strengthening existing policies or addressing selected findings as operations change.

We confirm suitability and scope case by case. Your firm’s activities and circumstances—not its sector label alone—determine what may be needed.

How we can help

Choose the support you actually need.

After reviewing your activities, current arrangements, internal ownership and priorities, we can agree which workstreams belong in the engagement.

01

Compliance calendar and submission preparation

Organise agreed recurring obligations, internal review points and supporting-document preparation. Confirm the applicable tasks and owners with your firm before setting its workplan.

02

Policies and conduct procedures

Review or prepare selected procedures around actual advisory activities, representative oversight and escalation arrangements. Management approves and implements the final documents.

03

Selected monitoring and issue reviews

Review agreed samples or issue records to identify gaps, unclear evidence and follow-up questions. Define the sampling scope and limitations before work begins; this is not an assurance opinion.

04

Management reporting and action tracking

Turn agreed monitoring results and open issues into a useful report with actions, owners, dates and evidence requirements. Highlight unresolved decisions for management attention.

05

Staff training and implementation questions

Prepare agreed training or discuss practical policy questions with responsible staff. Your firm ensures participation, supervises representatives and runs the operating controls.

06

Regulatory-query preparation and change review

Help organise selected draft responses, supporting information or proposed operating changes for management review. Confirm specialist dependencies and additional work before expanding the engagement.

A practical example

What an agreed working month could look like.

A fictional licensed financial adviser example showing how priorities become review work and management actions. Actual work and frequency depend on your engagement.

  1. 01

    Plan

    Management selects a representative-oversight question, a policy task and report priorities for the agreed workplan.

  2. 02

    Review

    AA reviews selected evidence and records observations, limitations and questions requiring clarification.

  3. 03

    Follow up

    The firm approves actions, assigns owners and gathers implementation evidence. AA reviews agreed follow-up material.

  4. 04

    Discuss

    The agreed meeting addresses open actions and decisions. Quarterly reporting is prepared when included in the package.

This is an illustrative planning aid, with fictional workstreams and no prescribed regulatory deadlines. It is not a complete compliance calendar or a substitute for assessing your firm's requirements.

Download the editable example workplan (CSV)

Not included unless agreed

Know what sits outside the scope.

  • A formal compliance-officer appointment or replacement of internal supervision.
  • Consumer financial planning, investment recommendations or sales of financial products.
  • Applying insurance-broker requirements solely because insurance products are involved.
  • Legal, tax, statutory audit, independent assurance or corporate-secretarial services.
  • Full review of every customer or representative file, operational execution or unlimited urgent support.
  • A guarantee of regulatory approval, compliance or closure of findings.

What stays with you

Management keeps ownership.

  • Maintain suitable personnel and supervise advisory activities and representatives.
  • Provide complete information and reliable evidence of operating controls.
  • Approve policies, risk decisions, submissions and management actions.
  • Implement recommendations and retain evidence of completion.
  • Engage legal advisers or independent reviewers where required.

Your first discussion

What we’ll clarify together.

  1. What advisory activities and customer segments does the firm serve?
  2. Who owns compliance, representative supervision and management reporting?
  3. Which recurring tasks, findings or policy changes need support first?
  4. What review evidence is available, and who will approve the actions?

Common questions

What you may want to know.

Is this financial advice for individual customers?

No. This service supports licensed financial-adviser firms with their compliance arrangements. AA does not provide consumer financial planning or sell financial products through this engagement.

Can a representative use AA instead of their principal’s compliance function?

This page is directed at firm-level engagements. Representatives remain subject to their principal’s supervision and procedures; external advice does not replace those arrangements.

Is a licensed financial adviser the same as a registered insurance broker?

No. A firm may hold more than one status, but the categories and applicable activities must be assessed separately.

Does the engagement include a compliance-officer appointment?

No. The published packages provide agreed review and advisory support. Management retains internal ownership, supervision and final decisions.

Do you review every customer file?

Not under a general recurring package. Selected monitoring or file review has an agreed scope, evidence requirements and limitations; the firm continues its full operational processes.

What does support cost?

The published Standard Compliance Advisory and Compliance Starter Pack offer different working rhythms. We confirm suitability and the workplan before agreeing an engagement, including any separate setup fee.

Fee starting points

Match the workplan to your internal capacity.

These are our published ongoing packages. We confirm suitability, the sector-specific workplan and exclusions in a written proposal before work starts.

Standard Compliance Advisory

S$1,000 per month

Monthly compliance calls, with questions welcomed between calls as they arise.

No separate onboarding fee.

No minimum term.

Compliance Starter Pack

S$2,500 per month

Monthly working meeting, quarterly compliance reports and ad-hoc compliance Q&A on working days.

For new firms, a separate S$4,000 setup fee will apply to prepare all necessary policies and procedures, and provide staff training for compliance operations.

Application support is scoped and quoted separately. External, statutory and third-party charges are separate unless expressly agreed. Published packages do not include a formal compliance-officer appointment.

Read the full package scope and fee terms

Choose the right support for your firm.

Compare ongoing compliance workstreams, use our guide to choosing an outsourced compliance provider to prepare questions, and read how the founder-led model works. Firms with insurance-broker activities can also review insurance-broker compliance support; the scope depends on the entity and activities.

Start with a conversation

Start with a focused conversation.

Share the immediate issue, ask initial questions and see whether there is a sensible basis for an engagement.

Discuss your requirements
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