Responsibilities:
You will be part of the team to gather intelligence and perform fact-finding investigations to support early detection and intervention of potential misconduct or market abuse issues by distribution representatives. In the investigative role, the officer will review and investigate independently allegations of reported misconduct and through proactive monitoring.
- Conduct assigned investigations and ensure that conclusions are based on a complete understanding of the issues, circumstances and risk
- Prepare investigation reports
- Prepare management reports related to investigation findings
- Perform checks on adverse records and other related issues for business units
- Analyze types and modes of agency unethical practices and market misconducts
- Identify trend analysis on key risk indicators to identify emerging risk of misconduct or new initiatives
- Leverage findings from various data sources to identify areas of concern requiring further investigation, and to identify clusters of issues or risks
- Take accountability in considering business and regulatory compliance risks and take appropriate steps to mitigate the risks
- Maintain awareness of industry trends on regulatory compliance, emerging threats and technologies in order to understand the risk and better safeguard the company
- Highlight any potential concerns/ risks and proactively share best risk management practices
Requirements:
- Degree holder in any discipline
- 1-3 years of compliance / investigation / sales experience in Financial Services or Insurance Industry would be an added advantage
- CMFAS qualification (M5, M9, M9A and HI) would be an added advantage
- Proficient in MS Office (Word, Excel and PowerPoint)
- Meticulous, systematic, able to work well independently and as a team in a fast-paced environment
- Strong analytical and problem-solving skills
- High level of integrity and accountability of work
- Take initiative to improve current state of work and adaptable to embrace new changes
Interested candidates who wish to apply for the advertised position, please click on “Apply”. We regret that only shortlisted candidates will be notified.
EA License No.: 01C4394 (PERSOLKELLY Singapore PTE LTD)
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