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

DBS; Singapore; On-site; SGD 60,000 - 80,000; Full time

Job summary

A major bank in Singapore seeks a passionate Analyst/Assoc, Financial Advisers Act Investigation Specialist for their Group Compliance Team. The role involves conducting thorough investigations into breaches of financial regulations, gathering evidence, and preparing detailed reports. Candidates should have a relevant diploma or degree, strong analytical skills, and experience in financial investigations or compliance. Join a team dedicated to maintaining the bank's integrity and reputation in a fast-paced environment.

Qualifications

• Strong knowledge of the Financial Advisers Act and related regulations.
• Experience in financial investigations, compliance, or a related field.
• Ability to work independently with minimum supervision.

Responsibilities

• Conduct thorough investigations into potential breaches of financial regulations.
• Gather evidence and interview clients and financial advisors.
• Prepare detailed investigation reports with findings and recommendations.

Skills

Analytical skills

Investigative skills

Problem-solving skills

Report-writing skills

Education

Diploma / Degree in finance, law, accounting or relevant certifications

Tools

Microsoft applications

Job description

Job Description - Analyst/Assoc, Financial Advisers Act (FAA) Investigation Specialist, Group Compliance (WD78380)

Job Description

Analyst/Assoc, Financial Advisers Act (FAA) Investigation Specialist, Group Compliance - ( WD78380 )

Business Function

Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.

Job Purpose

We are looking for a passionate and curious individual to join our Financial Advisers Act (FAA) Investigation Team. As an Investigation Specialist, you should be passionate in uncovering the truth and will assume responsibilities to ensure that investigations are conducted and completed in a comprehensive and timely manner, and resulting in a fair outcome for the customer.

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.

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.
• 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.