Distribution Compliance Associate - Insurance

LMA RECRUITMENT SINGAPORE PTE. LTD.; Singapore; On-site; SGD 50,000 - 70,000; Full time

Job summary

A leading company in Singapore is seeking a Distribution Compliance Associate to ensure adherence to regulatory requirements in distribution activities. The role involves monitoring market conduct, investigating potential misconduct, and supporting compliance efforts across advisory and sales functions. Ideal candidates will possess a relevant degree and have experience in compliance within financial services, coupled with strong analytical, communication, and stakeholder management skills.

Qualifications

• 1-3 years of experience in compliance with financial advisory or insurance.
• Familiarity with market conduct rules and regulatory frameworks.
• Strong analytical and investigative skills.

Responsibilities

• Monitor sales and advisory activities for compliance.
• Conduct investigations into sales misconduct and regulatory breaches.
• Review marketing materials for regulatory compliance.

Skills

Analytical skills

Investigative skills

Communication

Stakeholder management

Education

Degree in Law

Degree in Finance

Degree in Business

Job description

Job Summary

The Distribution Compliance Associate is responsible for ensuring the company’s distribution activities adhere to all regulatory requirements and internal policies. This role focuses on monitoring market conduct, investigating potential misconduct, and supporting compliance oversight across advisory and sales functions.

Key Responsibilities

• Monitor sales and advisory activities to ensure compliance with applicable regulations (e.g., MAS, FCA, SEC).
• Conduct market conduct investigations into sales misconduct, product mis-selling, or regulatory breaches.
• Review marketing materials and sales scripts for regulatory compliance.
• Support audits, regulatory inspections, and internal reviews related to distribution.
• Maintain up-to-date knowledge of regulatory changes affecting distribution practices.
• Provide compliance training and guidance to representatives and distribution teams.

Requirements

• Degree in Law, Finance, Business, or related field.
• 1-3 years of experience in compliance with financial advisory or insurance.
• Familiarity with market conduct rules, product suitability, and regulatory frameworks.
• Strong analytical and investigative skills.
• Excellent communication and stakeholder management abilities.

Company Reg No.: 201131609D | License No.: 24S2411 | Reg No: R1110891 | JL