-NEW- 12 Months Distribution Conduct Executive (Financial Services)

AMBITION GROUP SINGAPORE PTE. LTD.; Singapore; In loco; SGD 56.000 - 100.000; Tempo pieno

Descrizione del lavoro

Ambition Group Singapore Pte. Ltd.

is seeking a Compliance professional to ensure timely completion of compliance reporting, misconduct trend analysis and distribution channel data analytics in line with regulatory and internal deadlines. You will conduct investigations, engage with customers, agents and distribution partners to gather information for fair, objective assessments of alleged misconduct, monitor market conduct and support regulatory initiatives.

Competenze

• Minimum Degree in a related discipline.
• Minimum 1 years of relevant experience.
• Able to start immediately or within short notice.

Mansioni

• Ensure timely completion of compliance reporting, misconduct trend analysis and distribution channel data analytics in accordance with regulatory and internal deadlines.
• Conduct thorough investigations and assessments of suspected agency misconduct, identifying root causes, evaluating potential risks and recommending appropriate remediation for substantiated cases.
• Engage with customers, agents and distribution partners to gather relevant information and supporting evidence to facilitate fair, objective and comprehensive assessments of alleged misconduct.
• Monitor and promote adherence to market conduct, sales practices and compliance standards across distribution channels, escalating potential breaches or concerns where appropriate.
• Maintain strong knowledge of and compliance with applicable regulatory requirements, industry standards, regional compliance standards and internal business policies and procedures.
• Support and deliver compliance-related projects and initiatives, including regulatory requirements, process enhancements and initiatives aimed at improving operational efficiency and strengthening controls.
• Assist with the review and assessment of policy replacement appeals, ensuring cases are evaluated objectively and in accordance with established policies and procedures.
• Prepare and maintain accurate management reports, compliance analysis and misconduct trend reporting, highlighting key findings, emerging risks and areas requiring management attention
• Adhoc tasks and projects as assigned

Conoscenze

Investigations

Regulatory compliance

Data analytics

Stakeholder engagement

Formazione

Degree in related discipline

Descrizione del lavoro

Job Responsibilities:

• Ensure timely completion of compliance reporting, misconduct trend analysis and distribution channel data analytics in accordance with regulatory and internal deadlines.
• Conduct thorough investigations and assessments of suspected agency misconduct, identifying root causes, evaluating potential risks and recommending appropriate remediation for substantiated cases.
• Engage with customers, agents and distribution partners to gather relevant information and supporting evidence to facilitate fair, objective and comprehensive assessments of alleged misconduct.
• Monitor and promote adherence to market conduct, sales practices and compliance standards across distribution channels, escalating potential breaches or concerns where appropriate.
• Maintain strong knowledge of and compliance with applicable regulatory requirements, industry standards, regional compliance standards and internal business policies and procedures.
• Support and deliver compliance-related projects and initiatives, including regulatory requirements, process enhancements and initiatives aimed at improving operational efficiency and strengthening controls.
• Assist with the review and assessment of policy replacement appeals, ensuring cases are evaluated objectively and in accordance with established policies and procedures.
• Prepare and maintain accurate management reports, compliance analysis and misconduct trend reporting, highlighting key findings, emerging risks and areas requiring management attention
• Adhoc tasks and projects as assigned

Job Requirements

• Minimum Degree in a related discipline
• Minimum 1 years of relevant experience
• Able to start immediately or within short notice

www.ambition.com.sg

EA Registration Number: R1873431

Data provided is for recruitment purposes only

Business Registration Number:200611680D. License Number: 10C5117