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- Conduct investigations in relation to market misconduct complaints and follow-up actions
- Perform market conduct compliance reviews, monitor and implement follow-up actions
- Liaise with the Regulator and relevant Government Agencies
- Maintain and revise policies and procedures for the general operation of distribution compliance activities
- Cover duties of team leader and members in his/her absence
- Any other ad-hoc duties and projects assigned
- 2-3 years experience in formal investigative work which includes producing detailed investigations reports for internal audits or governmental agency consumption.
- Meticulous with strong analytical and reasoning skills
- Degree or Diploma in a relevant field
- Strong Communication and Writing Skills
- Knowledge in Financial Advisers Act (“FAA”) and relevant MAS Notices and Guidelines.
- Conduct investigations in relation to market misconduct complaints and follow-up actions
- Perform market conduct compliance reviews, monitor and implement follow-up actions
- Liaise with the Regulator and relevant Government Agencies
- Maintain and revise policies and procedures for the general operation of distribution compliance activities
- Cover duties of team leader and members in his/her absence
- Any other ad-hoc duties and projects assigned
- 2-3 years experience in formal investigative work which includes producing detailed investigations reports for internal audits or governmental agency consumption.
- Meticulous with strong analytical and reasoning skills
- Degree or Diploma in a relevant field
- Strong Communication and Writing Skills
- Knowledge in Financial Advisers Act (“FAA”) and relevant MAS Notices and Guidelines.