Market Conduct Investigator

1 week ago

Singapore Prudential plc Full time

Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people’s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed.

Job Description

1) Investigation
- Investigate any complaints or allegations of serious misconduct in a fair, independent and prompt manner.
- Mete out the prescribed sanction(s) in accordance of the internal policy for any breaches of sales conduct by the distribution channels.
- Be competent and conversant with the relevant contents and requirements of applicable regulations, industry standards, Regional Compliance Standards and PACS’ business rules.

2) Fitness and Propriety Assessment
- Provide support and advice to business on matters relating to ongoing due diligence of existing representatives.

3) Others
- Undertake ad-hoc tasks, projects or reviews as directed by Lead - Market Conduct Investigation and Head - Sales Surveillance & Investigation.

Who we are looking for:
Competencies & Personal Traits
- Self-motivated and driven.
- Analytical and attentive to details.
- Basic understanding of the insurance industry and operations.
- Basic knowledge of regulations and industry guidelines applicable to the insurance/financial industry such as Insurance Act, Financial Advisers Act (FAA) and its subsidiary regulations, Monetary Authority of Singapore (MAS) regulations, Central Provident Fund (CPF) Board regulations, Life Insurance Association (LIA) guidelines.

Working Experience:

- At least 3-5 years of experience in a compliance role in a financial institution or similar institution.
- Preferably with experience in investigation into customers’ complaint and dealing with Distribution functions.

Professional Qualifications:

- Preferably with Insurance-related certifications [e.g. FLMI (LOMA), CMFAS Module 5, 9, 9A & Health Insurance].

Education:

- Degree, preferably in Business, Insurance or Finance related fields.

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