10 September 2020
Our established client within the financial sector is searching for an individual experienced in doing financial compliance and investigation to join their Group Market Conduct team.
- Bachelor’s Degree in Finance, Business or any other related field;
- 3+ years of experience in investigation with Law Enforcement Agency or Compliance Department/ Audit function in the Financial Industry;
- Knowledge in MAS and FAA rules and regulations;
- Proficient in report writing and SOP drafting;
- Experience assessing new and existing financial representatives on Fit & Proper status;
- Experience revising standard SOPs, matrices and guidelines;
- Proficient in MS office applications;
- Strong problem solving skills;
- Ability to multi-task and prioritise whilst maintaining standards and accuracy in deliverables.
- Familiar with MAS and FAA rules and regulations.
- End-end investigation on cases/issues raised inclusive of preplanning and wrap up activities;
- Ensure market conduct of new & existing financial representatives adhere to the Fit & Proper criteria by MAS;
- Obtain and review evidence ensuring that the assessments are well-documented;
- Revision of Standard Operating Procedures(“SOP”), matrices and guidelines;
- Review of the Annual Declaration Exercise and preparation of the management report;
- Apply risk and control concepts to scenarios encountered in assessments and/or investigations and identifies any potential issues;
- Report identified issues to Supervisor to ensure any potential concerns are addressed timely and effectively, and the appropriate enforcement actions are meted out;
- Provide trainings and updates to the agency force on Market Misconduct and/or Risk & Compliance matters;
- Maintain awareness of industry trends on regulatory compliance, emerging threats and appropriate steps to mitigate the risks.