Compliance & Investigations Manager

The Great Eastern Life Assurance Company Limited; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

The Great Eastern Life Assurance Company Limited invites a diligent professional to join our Risk Management team in Singapore. You will perform surveillance, investigations, and risk reporting, leveraging data analytics and MS Office to identify anomalies and ensure regulatory compliance.

You will train agency staff, review SOPs, and contribute to investigations from start to finish, escalating issues as needed and upholding the highest standards of integrity and accountability.

Qualifications

• Degree holder in any discipline with a background in compliance or investigative work.
• Experience in investigation or surveillance within financial services is preferred.
• Good knowledge of MAS and FAA rules and strong data analysis skills.

Responsibilities

• Perform surveillance assessments of representatives identified through the Compliance Monitoring Program and AI models.
• Use analytical skills, data mining tools, and business knowledge to identify anomalies, risk patterns, and relationships in data to help make informed decisions on areas of potential market misconduct.
• Report identified issues to Supervisor to ensure any potential concerns are addressed timely and effectively, and the appropriate escalation of such concerns to the investigation team.
• Collaborate with data scientists to evaluate and improve the efficiency of existing dashboards and models.
• Any other ad hoc duties / projects in this scope.
• Conduct assigned investigations successfully from beginning to end;
• Ensures investigation conclusions are based on a complete understanding of the issues, circumstances and risk;
• Obtain and review evidence to ensure that investigation conclusions are well-documented;
• Identify and communicate issues raised, offering recommended solutions relevant to business and risk;
• Mete out enforcement actions as warranted based on investigation findings;
• Prepare management reports related to investigation findings;
• Preparation of information in relation to FIDReC mediation and adjudication sessions;
• Any other ad hoc duties / projects in this scope.
• Provide trainings and updates to the agency force on Market Misconduct and/or Risk & Compliance matters;
• Conduct scheduled / ad-hoc leader’s inspection and preparation of inspection findings report;
• Able to review, write and formalise SOP and its related processes.
• Takes accountability in considering business and regulatory compliance risks and takes appropriate steps to mitigate the risks.
• Maintains awareness of industry trends on regulatory compliance, emerging threats and technologies in order to understand the risk and better safeguard the company.
• Highlights any potential concerns /risks and proactively shares best risk management practices.

Skills

Analytical skills

Data mining

MS Office

Communication

Teamwork

Education

Bachelor's degree

Tools

MS Excel

Data mining tools

Job description

The Great Eastern Life Assurance Company Limited invites a diligent professional to join our Risk Management team in Singapore. You will perform surveillance, investigations, and risk reporting, leveraging data analytics and MS Office to identify anomalies and ensure regulatory compliance.

You will train agency staff, review SOPs, and contribute to investigations from start to finish, escalating issues as needed and upholding the highest standards of integrity and accountability.