Analyst/Assoc, Financial Advisers Act

2 weeks ago

DBS Asia Central Singapore at DBS Full time $90,000 - $120,000 per year
Analyst/Assoc, Financial Advisers Act (FAA) Investigation Specialist, Group Compliance - (WD

Business Function

Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.

Job Purpose

We are looking for a passionate and curious individual to join our Financial Advisers Act (FAA) Investigation Team. As an Investigation Specialist, you should be passionate in uncovering the truth and will assume responsibilities to ensure that investigations are conducted and completed in a comprehensive and timely manner, and resulting in a fair outcome for the customer.

Responsibilities

  • Conduct thorough investigations into potential breaches of the Financial Advisers Act and related regulations.
  • Gather evidence, and interview clients, financial advisors and witnesses.
  • Analyse financial records, client documentation, and other relevant materials to identify patterns of misconduct.
  • Prepare detailed investigation reports with findings and recommendations for remediation.
  • Collaborate with internal and external stakeholders, including Insurers, the Financial Disputes Resolution Centre Ltd, regulatory bodies and law enforcement agencies.
  • Maintain accurate records of investigations.
  • Stay abreast of changes in financial regulations and compliance requirements.

Requirements

  • A Diploma / Degree in a relevant field (e.g. finance, law, accounting) and/or relevant professional certifications (e.g. Certified Fraud Examiner).
  • Experience in financial investigations, compliance, or a related field would be an advantage.
  • Strong analytical and investigative skills.
  • Strong knowledge of the Financial Advisers Act, Securities & Futures Act and related regulations.
  • Experience in financial planning with retail customers.
  • Preferred Certifications – M5, M6, M8, M9, M1, Health Insurance, etc
  • Good analytical skills with ability to work independently with minimum supervision in a fast-paced banking environment.
  • Strong problem-solving and investigative skills.
  • Strong team player with ability to interact effectively with internal and external customers.
  • Excellent report-writing skills and proficient in Microsoft applications.

-en

-en

Primary Location: Singapore-DBS Asia Central Job: Compliance Schedule: Regular Employee Status: Full-time : Job Posting: Sep 4, 2025, 6:21:24 AM

  • Analyst/Assoc, Financial Advisers Act

    2 weeks ago

    Singapore DBS Bank Full time $60,000 - $120,000 per year

    Business Function Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust...

  • Financial Adviser

    4 weeks ago

    Singapore IPP FINANCIAL ADVISERS PTE. LTD. Full time

    Roles & ResponsibilitiesIPP have been providing quality financial advice in Singapore since 1983. The Expat Advisory Group, a specialist division within the Company are seeking experienced financial advisers to join their expanding team. Only the most motivated, highly driven and successful need apply.Relevant tertiary educational qualifications (or...

  • Financial Adviser

    4 weeks ago

    Singapore SYNERGY FINANCIAL ADVISERS LTD. Full time

    Roles & ResponsibilitiesTo service clients who arerequesting financial planning services, providing wholesome advice, including: Personal Financial Planning, Personal Will and Estate Planning, HNWI Planning GI InsuranceCandidate must haveA Degree or A Diploma Mature and Outgoing Excellent communication and sales skills.Tell employers what skills you...

  • Financial Adviser

    5 days ago

    Singapore SYNERGY FINANCIAL ADVISERS LTD. Full time

    To service clients who are requesting financial planning services, providing wholesome advice, including: Personal Financial Planning, Personal Will and Estate Planning, HNWI Planning GI Insurance Candidate must have A Degree or A Diploma Mature and Outgoing Excellent communication and sales skills. Relevant experience.

  • Financial Adviser

    1 week ago

    Singapore SYNERGY FINANCIAL ADVISERS LTD. Full time

    To service clients who are requesting financial planning services, providing wholesome advice, including: Personal Financial Planning, Personal Will and Estate Planning, HNWI Planning GI Insurance Candidate must have A Degree or A Diploma Mature and Outgoing Excellent communication and sales skills. Relevant experience.

  • Financial Adviser

    2 weeks ago

    Singapore GLOBAL FINANCIAL CONSULTANTS PTE. LTD. Full time

    **Why GFC?**: - Training & Support Provided - We ensure that you’re given opportunities to succeed - Career Advancement Opportunities - Quarterly Team-Building Initiatives - Close-Knit Environment - Opportunity to work with a diverse team Global Financial Consultants (GFC) is one of Singapore’s most venerable and longest established wealth management...

  • Independent Financial Adviser

    2 weeks ago

    Singapore Avallis Financial Pte Ltd (formerly First Principal Financial Pte Ltd) Full time

    Independent Financial Adviser (Career Switchers Welcome)Location: Remote / Flexible Job Type: Full-time | Commission-based Are you passionate about helping others achieve financial freedom? Do you have strong communication skills, an entrepreneurial mindset, and a desire to make a real impact? We’re looking for motivated individuals to join our team as...

  • Financial Adviser

    2 weeks ago

    Singapore GLOBAL FINANCIAL CONSULTANTS PTE. LTD. Full time

    **Why GFC?**: - Training & Support Provided - We ensure that you’re given opportunities to succeed - Career Advancement Opportunities - Quarterly Team-Building Initiatives - Close-Knit Environment - Located at CBD, minutes away from Raffles Place & Telok Ayer MRT - Opportunity to work with a diverse team Global Financial Consultants (GFC) is one of...

  • Financial Associate

    1 week ago

    Singapore Alpha Wealth Financial Advisers Full time $24,000 - $48,000 per year

    CompanyAlpha Wealth Financial AdvisersDesignationFinancial AssociateDate Listed16 Jul 2025Job TypeEntry Level / Junior ExecutiveIntern/TSJob PeriodFrom 28 Jul Aug 2025ProfessionInsuranceIndustryFinanceLocation NameSingaporeAllowance / Remuneration$500 - 1,000 monthlyCompany ProfileTRY THE CAREER. KEEP THE EXPERIENCE.2 Weeks Financial Advisory Mentorship for...

  • Financial Advisor

    7 days ago

    Singapore Income Advisory Financial Advisers Full time

    Break Free from the 9–5 Rat Race – Become a Financial Consultant Singapore | Full-Time Are you working hard in a corporate role but feel stuck in the rat race?Do you dream of building financial freedom for yourself while helping others do the same?We’re looking for ambitious individuals ready to take control of their career, income, and future. At...