Compliance Manager

2 weeks ago

Singapore River The Great Eastern Life Assurance Company Limited Full time $72,000 - $144,000 per year

You will assist the following:

Surveillance

·       Perform assessments of representatives identified through the Compliance Monitoring Program and AI models

·       Use analytical skills, data mining tools, and business knowledge to identify anomalies, risk patterns, and relationships in data to help make informed decisions on areas of potential market misconduct

·       Report identified issues to Supervisor to ensure any potential concerns are addressed timely and effectively, and the appropriate escalation of such concerns to the investigation team.

·       Collaborate with data scientists to evaluate and improve the efficiency of existing dashboards and models

·       Any other ad hoc duties / projects in this scope.

*Investigation*

·       Conduct assigned investigations successfully from beginning to end;

·       Ensures investigation conclusions are based on a complete understanding of the issues, circumstances and risk;

·       Obtain and review evidence to ensure that investigation conclusions are well-documented;

·       Identify and communicate issues raised, offering recommended solutions relevant to business and risk;

·       Mete out enforcement actions as warranted based on investigation findings;

·       Prepare management reports related to investigation findings;

·       Preparation of information in relation to FIDReC mediation and adjudication sessions; and

·       Any other ad hoc duties / projects in this scope.

*Others*

·       Provide trainings and updates to the agency force on Market Misconduct and/or Risk & Compliance matters;

·       Conduct scheduled / ad-hoc leader's inspection and preparation of inspection findings report; and

·       Able to review, write and formalise SOP and its related processes.

·       Takes accountability in considering business and regulatory compliance risks and takes appropriate steps to mitigate the risks.

·       Maintains awareness of industry trends on regulatory compliance, emerging threats and technologies in order to understand the risk and better safeguard the company.

·       Highlights any potential concerns /risks and proactively shares best risk management practices.

· Degree holder in any discipline, preferably with relevant work experience.

· Prior experience in investigation or surveillance with Compliance Department in the Financial Industry.

· Good knowledge of MAS and FAA rules and regulations and / or sales experience in the Financial Industry would be an advantage.

· Proficient in MS office applications.

· Ability to multi-task and prioritize whilst maintaining standards and accuracy in deliverables.

· Strong analytical skills, meticulous, self-motivated and a good problem-solver.

· Good interpersonal, communication and organizational ability.

· Proficient in report writing and presentation skills.

· Team player.

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