Compliance (Market Conduct) – Snr Exec/Asst Manager (Team Lead)

Job Responsibilities

(May be considered for a Team Lead position based on relevant experience, with added responsibilities in leadership and oversight)

• Independently conduct end-to-end investigations, including conducting interviews and preparing comprehensive investigation reports.
• Carry out regular and ad-hoc audits to identify key risk areas such as training & competency gaps and manipulation checks.
• Support the development, enhancement, and implementation of policies, procedures, and control assessments to address identified risks.
• Deliver regular training sessions to improve agency competency and ensure continuous capability development.
• Monitor and ensure agency compliance with all relevant laws, regulations, notices, and circulars issued by authorities or the Company.

Requirements

• A recognized Degree, with at least 3 years of experience in performing investigations in Insurance Companies, FA firms or Financial Institutions.
• Detail-oriented and proactive; able to work efficiently under pressure and meet tight deadlines.
• Good grasp of relevant regulations, including FAA and LIA guidelines
• Strong verbal and written communication skills

Thank you for your interest in this role. Please note that only shortlisted candidates will be contacted .

Registration No. R1985319

EA License No. 25C2698