Assistant Manager, Market Conduct Investigation (Compliance)
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Job Location:
Monthly Salary:
Posted on:
3 days ago
Vacancies:
1 Vacancy
Job Summary
Description
Responsibilities
- Investigate any complaints or allegations of misconduct in a fair independent and timely manner.
- Mete out the corresponding penalty in accordance with the Companys Market Conduct Disciplinary Framework.
- Facilitate panel discussions relating to disciplinary and/or appeal matters.
- Be competent and conversant with the relevant Acts Notices Guidelines industry standards and Incomes business rules.
- Handle enquiries from Regulators Government Agencies and/or Auditors queries in relation to market conduct matters.
- Maintain and revise policies and procedures for the general operation of distribution compliance activities.
- Prepare training materials and conduct training on market conduct matters.
- Advisory role to other stakeholders pertaining to market conduct matters.
Reporting
- Prepare reports for and/or facilitate meetings with Senior Management and Board on Market Conduct matters.
- Prepare reports on market conduct investigation matters to facilitate periodic or ad-hoc reporting to MAS and/or CPFB.
- Any other reporting.
Others
- Twisting reviews referred by other FIs.
- Undertake ad-hoc tasks projects or reviews as directed by Section Head Market Conduct Compliance and Team Lead Market Conduct Investigation.
Qualifications
Working Experience
- At least 5 years of experience in a compliance role in a financial institution or similar institution.
- Preferably with experience in investigation relating to customers complaint and dealing with Distribution functions.
Professional Qualification
- Preferably with insurance-related certifications FLMI (LOMA) CMFAS Module 5/RES 5 9 9A and Health Insurance.
Education
- Degree in any field.
Competencies & Personal Traits
- Self-motivated and driven.
- Analytical and attentive to details.
- Good understanding of the insurance industry and operations.
- Good knowledge of regulations and industry guidelines applicable to the insurance/financial industry such as Insurance Act Financial Advisers Act (FAA) and its subsidiary regulations Monetary Authority of Singapore (MAS) regulations Central Provident Fund (CPF) Board regulations Life Insurance Association (LIA) guidelines.
- Proficient in MS Office.
Required Experience:
Manager
Key Skills
- Corporate Paralegal
- Baan
- IT Sales and Marketing
- Civil Quality Control
- Activex
- Jboss
About Company
Income Insurance is Singapore's leading provider of Life, Health, Travel & Car Insurance as well as savings, investment and retirement plans. Get started online!
