Manager, Intermediary Conduct Investigation

FWD Group Management Holdings Limited; Kuala Lumpur; On-site; MYR 150,000 - 210,000; Full time

Job summary

FWD Takaful Berhad in Malaysia is seeking an experienced professional to lead end-to-end investigations into intermediary misconduct. You will conduct fact-finding, interviews and evidence reviews, and prepare findings and reports for senior management.

The role covers regulatory support, disciplinary governance, trend analysis and preventive controls. You will collaborate with regulators and industry bodies to strengthen conduct risk frameworks and promote compliant sales practices.

Responsibilities

• Investigations Management Lead end-to-end investigation of intermediary misconduct allegations. Perform fact-finding exercises, interviews and evidence reviews. Establish findings and identify conduct breaches, root causes and control weaknesses. Determine potential customer, regulatory and reputational impact.
• Sales Conduct Investigation Investigate allegations involving: Misrepresentation, Forged signatures, Premium or contribution misappropriation. Unauthorized transactions. Customer complaints involving intermediary conduct. Documentation irregularities. Breaches of Code of Ethics and sales conduct requirements.
• Disciplinary Governance Support Intermediaries Disciplinary Committee (IDC) governance. Prepare investigation reports, case summaries and disciplinary recommendations. Monitor implementation of disciplinary actions.
• Regulatory & External Engagement Support regulatory inquiries and information requests. Prepare investigation-related reports for Management, Board Committees and regulators. Coordinate with industry bodies where required.
• Trend Analysis & Preventive Measures Perform analysis of recurring misconduct themes. Identify emerging conduct risks and trends. Recommend preventive controls and monitoring activities. Support development of conduct risk frameworks and disciplinary policies.
• Training & Awareness Deliver awareness sessions on intermediary conduct expectations and promote ethical sales behaviour and compliance culture. Support policy and process enhancement initiatives.

Job description

About FWD Group

FWD Group (1828.HK) is a pan-Asian life and health insurance business that serves approximately 40 million customers across 10 markets, including BRI Life in Indonesia. FWD’s customer-led and tech-enabled approach aims to deliver innovative propositions, easy-to-understand products and a simpler insurance experience. Established in 2013, the company operates in some of the fastest-growing insurance markets in the world with a vision of changing the way people feel about insurance. FWD Group is listed on the main board of the Hong Kong Stock Exchange under the stock code 1828. For more information, please visit www.fwd.com

About FWD Takaful Berhad

FWD Takaful Berhad (“FWD Takaful”) is a takaful provider in Malaysia that offers family takaful services. FWD Takaful is licensed under the Islamic Financial Services Act 2013 and is regulated by Bank Negara Malaysia. FWD Takaful is a takaful business unit of FWD Group. Visit https://www.fwd.com.my

Join us

We’re proud to be a company that encourages and nurtures fearless innovation in achieving our vision of changing the way people feel about takaful. Our teams come from a wide variety of industries and backgrounds because we value developing a truly diverse pool of talent that brings different perspectives and experiences. Our values – committed, innovative, proactive, open, and caring – define who we are and what we do as we work together to bring our vision to life, every single day.

KEY ACCOUNTABILITIES

• Investigations Management Lead end-to-end investigation of intermediary misconduct allegations. Perform fact-finding exercises, interviews and evidence reviews. Review policy records, customer documentation, payment records and transactional data. Establish findings and identify conduct breaches, root causes and control weaknesses. Determine potential customer, regulatory and reputational impact.
• Sales Conduct Investigation Investigate allegations involving: Misrepresentation, Forged signatures, Premium or contribution misappropriation. Unauthorized transactions. Customer complaints involving intermediary conduct. Documentation irregularities. Breaches of Code of Ethics and sales conduct requirements.
• Disciplinary Governance Support Intermediaries Disciplinary Committee (IDC) governance. Prepare investigation reports, case summaries and disciplinary recommendations. Monitor implementation of disciplinary actions.
• Regulatory & External Engagement Support regulatory inquiries and information requests. Prepare investigation-related reports for Management, Board Committees and regulators. Coordinate with industry bodies where required.
• Trend Analysis & Preventive Measures Perform analysis of recurring misconduct themes. Identify emerging conduct risks and trends. Recommend preventive controls and monitoring activities. Support development of conduct risk frameworks and disciplinary policies.
• Training & Awareness Deliver awareness sessions on intermediary conduct expectations and promote ethical sales behaviour and compliance culture. Support policy and process enhancement initiatives.

FWD Group (1828.HK) is a pan-Asian life and health insurance business that serves approximately 40 million customers across 10 markets, including BRI Life in Indonesia. FWD’s customer-led and tech-enabled approach aims to deliver innovative propositions, easy-to-understand products and a simpler insurance experience. Established in 2013, the company operates in some of the fastest-growing insurance markets in the world with a vision of changing the way people feel about insurance. FWD Group is listed on the main board of the Hong Kong Stock Exchange under the stock code 1828. For more information, please visit www.fwd.com

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