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Compliance Investigations - Assistant Manager

  • Location:


  • Sector:

    Risk & Compliance

  • Job type:


  • Salary:


  • Contact:

    Leonard Lim

  • Contact email:

  • Job ref:


  • Published:

    19 giorni fa

  • Expiry date:


  • Startdate:


Job Description


  • 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.


  • 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

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