Analyst/Assoc, Financial Advisers Act (FAA) Investigation Specialist, Group Compliance
- Singapore
- Permanent
- Full-time
- Conduct thorough investigations into potential breaches of the Financial Advisers Act and related regulations.
- Gather evidence, and interview clients, financial advisors and witnesses.
- Analyse financial records, client documentation, and other relevant materials to identify patterns of misconduct.
- Prepare detailed investigation reports with findings and recommendations for remediation.
- Collaborate with internal and external stakeholders, including Insurers, the Financial Disputes Resolution Centre Ltd, regulatory bodies and law enforcement agencies.
- Maintain accurate records of investigations.
- Stay abreast of changes in financial regulations and compliance requirements.
- A Diploma / Degree in a relevant field (e.g. finance, law, accounting) and/or relevant professional certifications (e.g. Certified Fraud Examiner).
- Experience in financial investigations, compliance, or a related field would be an advantage.
- Strong analytical and investigative skills.
- Strong knowledge of the Financial Advisers Act, Securities & Futures Act and related regulations.
- Experience in financial planning with retail customers.
- Preferred Certifications – M5, M6, M8, M9, M1, Health Insurance, etc
- Good analytical skills with ability to work independently with minimum supervision in a fast-paced banking environment.
- Strong problem-solving and investigative skills.
- Strong team player with ability to interact effectively with internal and external customers.
- Excellent report-writing skills and proficient in Microsoft applications.