Compliance Manager

3 weeks ago

Singapore Great Eastern Life Assurance Co Ltd Full time
Job Purpose

You will assist the following:
• Ensure successful completion of assigned investigation cases, from start to finish, inclusive of preplanning and wrap up activities;
• Ensure the fulfilment of the Fit & Proper criteria for New Applicants and existing Distribution Representatives'
• Ensure Distribution Representatives are in compliance with the Company's guidelines, circulars, notices and/or directives as well as laws including but not limited to regulations, guidelines or notices etc. issued by the Monetary Authority of Singapore or the Life Insurance Association of Singapore;
• Apply risk and control concepts to scenarios encountered in assessments and/or investigations and identifies any potential issues; and
• Report identified issues to Supervisor to ensure any potential concerns are addressed timely and effectively, and the appropriate enforcement actions are meted out to Distribution Representatives.

The Job

Fit & Proper
• Assess on the Fit & Proper status of New Applicants and existing Distribution Representatives and proceed with the necessary course of action;
• Obtain and review evidence ensuring that the assessments are well-documented;
• Revision of Standard Operating Procedures("SOP"), matrices and guidelines;
• Monitoring of Distribution Representatives issued with Directives;
• Review of the Annual Declaration Exercise and preparation of the management report;
• Perform checks on Fit & Proper records and other related issues for business units;
• Ensure that Distribution Representatives' outside engagement are of no conflict;
• Agent Fraud Monitoring;
• Reporting statistics and relevant information;
• FAA related advisory (Fit & Proper) to business units; and
• Any other ad hoc duties / projects in this scope.

Investigation
• Conduct assigned investigations successfully from beginning to end;
• Ensures investigation conclusions are based on a complete understanding of the issues, circumstances and risk;
• Obtain and review evidence to ensure that investigation conclusions are well-documented;
• Identify and communicate issues raised, offering recommended solutions relevant to business and risk;
• Mete out enforcement actions as warranted based on investigation findings;
• Prepare management reports related to investigation findings;
• Preparation of information in relation to FIDReC mediation and adjudication sessions; and
• Any other ad hoc duties / projects in this scope.

Others
• Provide trainings and updates to the agency force on Market Misconduct and/or Risk & Compliance matters;
• Conduct scheduled / ad-hoc leader's inspection and preparation of inspection findings report; and
• Able to review, write and formalise SOP and its related processes.
• Takes accountability in considering business and regulatory compliance risks and takes appropriate steps to mitigate the risks.
• Maintains awareness of industry trends on regulatory compliance, emerging threats and technologies in order to understand the risk and better safeguard the company.
• Highlights any potential concerns /risks and proactively shares best risk management practices.

Our Requirements

• Degree holder in any discipline, preferably with relevant work experience;
• Prior experience in investigation with Law Enforcement Agency or Compliance Department in the Financial Industry or Audit Function;
• Good knowledge of MAS and FAA rules and regulations and / or sales experience in the Financial Industry would be an advantage;
• Proficient in MS office applications;
• Ability to multi-task and prioritise whilst maintaining standards and accuracy in deliverables;
• Strong analytical skills, meticulous, self-motivated and a good problem-solver;
• Good interpersonal, communication and organisational ability;
• Proficient in report writing and presentation skills;
• Team player;
• High level of integrity, takes accountability of work and good attitude over teamwork; and
• Takes initiative to improve current state of things and adaptable to embrace new changes.

About Great Eastern

Established in 1908, Great Eastern places customers at the heart of everything we do. Our legacy extends beyond our products and services to our culture, which is defined by our core values and how we work. As champions of Integrity, Initiative and Involvement, our core values act as a compass, guiding and inspiring us to embrace the behaviours associated with each value, upholding our promise to our customers - to continue doing our best for them in a sustainable manner.

We work collaboratively with our stakeholders to look for candidates who exhibit or have the potential to embrace our core values and associated behaviours, as these are the key traits that we expect from our employees as they develop their careers with us.

We embrace inclusivity, giving all employees an equal opportunity to shine and play their role in exploring possibilities to deliver innovative insurance solutions.

Since 2018, Great Eastern has been a signatory to the United Nations (UN) Principles of Sustainable Insurance. Our sustainability approach around environmental, social, and governance (ESG) considerations play a key role in every business decision we make. We are committed to being a sustainability-driven company to achieve a low-carbon economy by managing the environmental footprint of our operations and incorporating ESG considerations in our investment portfolios; improving people's lives by actively helping customers live healthier, better and longer; and drive responsible business practices through material ESG risk management.

To all recruitment agencies: Great Eastern does not accept unsolicited agency resumes. Please do not forward resumes to our email or our employees. We will not be responsible for any fees related to unsolicited resumes.

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