Attorney in Alexandra, Singapore (General)

LawCrossing; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading compliance firm in the UK is seeking a Financial Advisers Act Investigation Specialist. You will conduct investigations into compliance breaches, analyze financial records, and prepare detailed reports. The ideal candidate has a degree in finance or law, strong analytical skills, and experience in financial investigations. This role requires collaboration with various stakeholders and keeping up to date with financial regulations.

Qualifications

• Experience in financial investigations, compliance, or related field preferred.
• Strong knowledge of Financial Advisers Act and related regulations.
• Ability to work independently in a fast-paced environment.

Responsibilities

• Conduct investigations into breaches of the Financial Advisers Act.
• Gather evidence and interview clients and advisors.
• Prepare detailed investigation reports.

Skills

Analytical skills

Investigative skills

Problem-solving skills

Team player

Report-writing skills

Education

Diploma/Degree in relevant field

Professional certifications (e.g., Certified Fraud Examiner)

Tools

Microsoft applications

Job description

Job Title Analyst/Assoc, Financial Advisers Act (FAA) Investigation Specialist, Group Compliance Job Responsibilities

• 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.

Education and Experience Information

• A Diploma/Degree in a relevant field (., finance, law, accounting) and/or relevant professional certifications (., 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.
• Good analytical skills with the ability to work independently with minimum supervision in a fast-paced banking environment.
• Strong problem-solving and investigative skills.
• Strong team player with the ability to interact effectively with internal and external customers.
• Excellent report-writing skills and proficient in Microsoft applications.

Salary Information The job description does not provide specific salary information.