Job Description

Responsibilities

• Conducting investigations in relation to market misconduct that are referred directly or referred from external sources (e.g. MAS and FIDReC).
• Prepare for monthly Disciplinary Committee meetings on investigation findings for Panel review.
• Support to convene deviation hearings against sanctions and communicate to relevant parties.
• Assist to train more junior members and review investigation reports as necessary.
• Provide adverse information for reference check requests for ex-Financial Planners and screenings conducted by other business units.
• Conduct ad-hoc review escalations of potential market misconduct indicators.
• Conduct trainings on Market Conduct standards to agency force.

Requirements

• Diploma or Degree in finance, business, or related field
• 4 to 5 years in the insurance industry
• Distribution Compliance background is required
• Possess professional qualifications such as FLMI, Diploma in Life Insurance, CMFAS Exams (M5, M9, M9A, CHI, M8, M8A), Diploma in Financial Planning