- To review and assess on complaints/escalations lodged by Business units, Client, Providers, and Authority
- Assist Market Conduct Lead in reviewing investigation report to ensure objective analysis & the appropriateness of the disciplinary and remediation actions.
- Drafting and issuing of investigation outcome letters to relevant parties involved.
- Identify non-compliance gaps and propose remediation/or actions plans in response to the exceptions/or audit findings
- Filing of Misconduct reports with the MAS and/or SPF
- Perform regular/thematic audit to ensure compliance to relevant legislation and company’s internal policies and procedures.
- Prepare regular statistics/reports as required for internal review and submission to the management
- Handle internal stakeholder’s queries on compliance-related matters confidently, accurately and promptly.
- Prepare and compile training presentations on specified topic relating to market conduct issues, as and when required
- Any other ad hoc duties as necessary
Requirements:
- Min. Bachelor Degree with more than 4 years of relevant market conduct / sales compliance / internal control & audit experience within Financial Services industry
- Proficiency in Excel - including Pivot Table and VLookup
Interested applicants are welcome to email detailed resume to: [email protected]
EA Licence No.: 99C4599
EA Personnel Registration: R1104662
EA Personnel Name: Celine Tan Si Ling
