Compliance Executive / Team Lead – Market Conduct & Investigations

ESTEEMED SEARCH PTE. LTD.; Singapore; On-site; SGD 60,000 - 80,000; Full time

Job summary

A financial services firm in Singapore is looking for an experienced investigator to conduct investigations and audits. The ideal candidate has a recognized degree and at least 3 years of relevant experience in financial institutions. Key responsibilities include supporting policy development, delivering training, and ensuring compliance with relevant regulations.

Qualifications

• At least 3 years of experience in performing investigations in Insurance Companies or Financial Institutions.
• Good grasp of relevant regulations, including FAA and LIA guidelines.

Responsibilities

• Conduct end-to-end investigations and prepare comprehensive reports.
• Carry out audits to identify training & competency gaps.
• Deliver training sessions to improve agency competency.
• Ensure agency compliance with laws and regulations.

Skills

Detail-oriented

Proactive

Strong verbal and written communication skills

Education

Recognized Degree

Job description

Job Responsibilities

(May be considered for a Team Lead position based on relevant experience, with added responsibilities in leadership and oversight)

• Independently conduct end-to-end investigations, including conducting interviews and preparing comprehensive investigation reports.
• Carry out regular and ad-hoc audits to identify key risk areas such as training & competency gaps and manipulation checks.
• Support the development, enhancement, and implementation of policies, procedures, and control assessments to address identified risks.
• Deliver regular training sessions to improve agency competency and ensure continuous capability development.
• Monitor and ensure agency compliance with all relevant laws, regulations, notices, and circulars issued by authorities or the Company.

Requirements

• A recognized Degree, with at least 3 years of experience in performing investigations in Insurance Companies, FA firms or Financial Institutions.
• Detail-oriented and proactive; able to work efficiently under pressure and meet tight deadlines.
• Good grasp of relevant regulations, including FAA and LIA guidelines
• Strong verbal and written communication skills

Thank you for your interest in this role. Please note that only shortlisted candidates will be contacted.

Registration No. R1985319

EA License No. 25C2698