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
