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.

Mandatory Skill(s)

  • 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.

Desirable Skill(s)

  • Familiar with MAS and FAA rules and regulations.

Responsibilities

  • 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.
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