Description

• Opportunity to work in a highly regulated financial instituition
• Hands-on investigation role with exposure to regulatory responses

About Our Client

Our client is a well-established and highly regulated financial services organisation operating in the life insurance sector. With a strong focus on governance and customer outcomes, the organisation places high importance on market conduct, regulatory compliance, and robust internal controls.

Job Description

• Conduct investigations into market conduct-related complaints and oversee follow-up actions through to resolution
• Carry out market conduct compliance reviews and monitor remediation actions
• Prepare responses to enquiries and information requests from regulators and relevant government agencies
• Maintain and adhere to established policies and procedures governing distribution compliance activities
• Ensure compliance with internal control standards and group compliance policies, including implementing recommendations from internal audits, external audits and regulators
• Provide coverage for team members during periods of absence and support overall team operations
• Perform reference checks relating to market conduct records and maintain accurate documentation
• Support ad hoc tasks and special projects related to compliance and investigations as required

The Successful Applicant

• Diploma in Compliance or a related field, or a degree in Business, Finance or equivalent
• Relevant experience in compliance, investigations or regulatory roles, preferably within financial services, insurance or law enforcement
• Working knowledge of the Financial Advisers Act (FAA) and applicable MAS Notices and Guidelines
• Strong analytical and problem-solving capabilities with attention to detail
• Disciplined approach to documentation and case management
• Clear written and verbal communication skills for regulatory and internal stakeholders
• Ability to manage multiple cases concurrently with sound prioritisation and follow-through

What's on Offer

• Exposure to regulatory engagement and complex market conduct issues
• Collaborative team culture with learning opportunities in compliance and investigations