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Market Conduct Investigator

2 weeks ago

Singapore beBeeCompliance Full time $80,000 - $120,000

Investigate with integrity and accuracy.

We are seeking a skilled professional to support our Lead in investigating complaints or allegations of serious misconduct, ensuring fair and independent processes. The ideal candidate will have a strong analytical mindset and be conversant with relevant regulations and industry standards.

Job Responsibilities:
  1. Investigation:
  • Conduct thorough investigations into complaints or allegations of serious misconduct.
  • Mete out prescribed sanctions for breaches of sales conduct by distribution channels.
  • Stay up-to-date with regulatory requirements and industry standards.
Fitness and Propriety Assessment:
  • Provide assessments and recommendations on new candidates with adverse findings/issues.
  • Support ongoing due diligence of existing representatives.
Other Duties:
  • Undertake ad-hoc tasks, projects, or reviews as directed by the Lead and Head of Sales Surveillance & Investigation.
Requirements:

To succeed in this role, you will require:

  • At least 3-5 years of experience in a compliance role in a financial institution or similar organization.
  • A basic understanding of the insurance industry and operations.
  • Knowledge of relevant regulations and industry guidelines, including the Insurance Act, Financial Advisers Act (FAA), and Monetary Authority of Singapore (MAS) regulations.
Preferred Qualifications:
  • Insurance-related certifications, such as FLMI (LOMA) or CMFAS Module 5, 9, and 9A.
  • A degree in Business, Insurance, or Finance related fields.
Benefits:

We offer a range of benefits, including:

  • Equality of opportunity and benefits for all applicants and employees, regardless of gender, race, age, ethnic origin, educational background, marital status, pregnancy and maternity, religion or belief, disability, or part-time/fixed-term work.