Compliance Executive
2 days ago
Job Responsibilities
(May be considered for a Team Lead position based on relevant experience, with added responsibilities in leadership and oversight)
Independently conduct end-to-end investigations, including conducting interviews and preparing comprehensive investigation reports.
Carry out regular and ad-hoc audits to identify key risk areas such as training & competency gaps and manipulation checks.
Support the development, enhancement, and implementation of policies, procedures, and control assessments to address identified risks.
Deliver regular training sessions to improve agency competency and ensure continuous capability development.
Monitor and ensure agency compliance with all relevant laws, regulations, notices, and circulars issued by authorities or the Company.
Requirements
A recognized Degree, with
at least 3 years of experience in performing investigations
in Insurance Companies, FA firms or Financial Institutions.
Detail-oriented and proactive; able to work efficiently under pressure and meet tight deadlines.
Good grasp of relevant regulations, including FAA and LIA guidelines
Strong verbal and written communication skills
Thank you for your interest in this role. Please note that only shortlisted candidates will be contacted .
Registration No. R
EA License No. 25C2698
#J-18808-Ljbffr
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