Specialist/Consultant, Investigations, Compliance

AIA Singapore; Singapore; Sur place; SGD 60 000 - 80 000; Plein temps

Résumé du poste

AIA Singapore is seeking a Compliance Officer responsible for investigating complaints and misconduct, reviewing marketing materials, and conducting regular sales compliance reviews to mitigate regulatory risks.

The ideal candidate should possess a Bachelor's Degree in Business, Management, Economics or Accountancy, along with necessary compliance certifications like CMFAS RES5. A minimum of 3 years' experience in a relevant sector is preferred. Strong communication and analytical skills are essential for success in this role.

Qualifications

• A minimum of 3 years of working experience in compliance in the insurance or financial sector is preferred.
• CMFAS RES5 (or M5), M9, M9A and HI certifications required.

Responsabilités

• Investigate complaints and misconduct activities to mitigate compliance risks.
• Conduct sales compliance reviews and portfolio assurance testing.
• Partner with stakeholders for compliance training and initiatives.

Connaissances

Data mining/processing applications

Strong communication skills

Analytical ability

Formation

Bachelor's Degree in Business, Management, Economics or Accountancy

Description du poste

About the Role

Carrying out investigation of complaints and misconduct activities, review of marketing materials and regular sales compliance reviews in order to mitigate regulatory and compliance risks.

• Handle complaints, feedback from whistle‑blowers, regulators (e.g. MAS, CPF, SPF).
• Carry out investigations on customer complaints and misconduct allegations against FSCs in an independent, effective and prompt manner aimed at reducing customer dissatisfaction, facilitating service recovery and enhancing customer experience.
• Vet product, sales and marketing materials to ensure that the contents are accurate, not misleading and fit for purpose.
• Partner with first‑line stakeholders to deliver compliance and ethics training and awareness activities.
• Participate in and be involved with team initiatives/projects to enhance the market conduct framework.
• Undertake regular sales compliance reviews of representatives, conducting portfolio reviews and assurance testing where necessary.
• Identify lapses in controls and work with stakeholders on remediation plans.
• Work closely with supervisors to develop initiatives that support and sustain a desirable culture within the sales force.
• Carry out ad‑hoc tasks and projects assigned by the Head of Department or supervisor.

Minimum Job Requirements

Education

Bachelor's Degree in Business, Management, Economics or Accountancy.

Experience

Preferably a minimum of 3 years of working experience in compliance, in an area relevant to the insurance or financial sector.

Certifications / Licences

CMFAS RES5 (or M5), M9, M9A and HI.

Compliance Qualifications

Special skills: Proficiency in data mining/processing applications, strong communication skills, and analytical ability.