
Analyst, Market Conduct
4 days ago
Singapore, Singapore, Singapore
- Department
- PIAS Risk Management & Compliance
- Job posted on
- Jul 06, 2025
- Employment type
- Permanent - Full Time
Professional Investment Advisory Services Pte Ltd (“PIAS”) has one of the largest, most respected and fastest growing network of financial advisers in Singapore. PIAS is wholly owned by Singapore Life Ltd (“Singlife”). Established in 2001 and licensed by the Monetary Authority of Singapore, PIAS is a multi-award winning financial advisory firm in Singapore and offers a diversified suite of financial services and solutions with a personalized approach.
**General Description**:
Assist the Market Conduct Lead in managing market conduct risk.
**Key Accountabilities**:
Compliant Handling Resolution:
- To assess and investigation into the complaints lodged by Clients, product providers and Authority/ escalations by other Business Units independently.
- Assist the Market Conduct Lead in the review of investigation report to ensure objective analysis & the appropriateness of the disciplinary and remediation actions.
- Drafting and the issuance of investigation outcome letters to Client, Representatives, Product Provider and Authority.
AML & CFT Compliance
Review and assess daily name screening alerts, to determine next course of action e.g. for closure / further escalation / obtain approvals etc.
Other Ad-hoc Duties:
- Handle Representatives/Branches and/or internal staffs’ queries on compliance-related matters confidently, accurately and promptly.
- Thematic Audits
**Requirement**
- Bachelor Degree in relevant field
- Minimum of 1 year experience either in audit, financial crime, fraud investigation, AML, KYC etc.
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