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Associate, Financial Advisers Act (FAA) Investigation Specialist, Group Legal, Compliance & Sec[...]
Job summary
A leading financial services firm is seeking an Associate, Financial Advisers Act Investigation Specialist in Singapore. The role involves conducting thorough investigations into breaches of financial regulations and collaborating with various stakeholders. Candidates should possess a diploma or degree in relevant fields and have strong analytical and investigative skills. This position offers a competitive salary and is ideal for those who are passionate about upholding compliance standards in the banking sector.
Benefits
Qualifications
- Diploma/Degree in finance, law, accounting, or relevant professional certifications.
- Experience in financial investigations or compliance would be an advantage.
- Strong knowledge of the Financial Advisers Act and related regulations.
Responsibilities
- Conduct thorough investigations into potential breaches of the Financial Advisers Act.
- Gather evidence and interview clients and financial advisors.
- Prepare detailed investigation reports with findings and recommendations.
Skills
Education
Tools
Job Description - Associate, Financial Advisers Act (FAA) Investigation Specialist, Group Legal, Compliance & Secretariat (WD72040)
Job Description
Associate, Financial Advisers Act (FAA) Investigation Specialist, Group Legal, Compliance & Secretariat - ( WD72040 )
Business Function
Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.
We are looking for a passionate and curious individual to join our Financial Advisers Act (FAA) Investigation Team. As an Investigation Specialist, you should be passionate in uncovering the truth and will assume responsibilities to ensure that investigations are conducted and completed in a comprehensive and timely manner, and resulting in a fair outcome for the customer.
- Conduct thorough investigations into potential breaches of the Financial Advisers Act and related regulations.
- Gather evidence, and interview clients, financial advisors and witnesses.
- Analyse financial records, client documentation, and other relevant materials to identify patterns of misconduct.
- Prepare detailed investigation reports with findings and recommendations for remediation.
- Collaborate with internal and external stakeholders, including Insurers, the Financial Disputes Resolution Centre Ltd, regulatory bodies and law enforcement agencies.
- Maintain accurate records of investigations.
- Stay abreast of changes in financial regulations and compliance requirements.
- A Diploma / Degree in a relevant field (e.g. finance, law, accounting) and/or relevant professional certifications (e.g. Certified Fraud Examiner).
- Experience in financial investigations, compliance, or a related field would be an advantage.
- Strong analytical and investigative skills.
- Strong knowledge of the Financial Advisers Act, Securities & Futures Act and related regulations.
- Experience in financial planning with retail customers.
- Good analytical skills with ability to work independently with minimum supervision in a fast‑paced banking environment.
- Strong problem‑solving and investigative skills.
- Strong team player with ability to interact effectively with internal and external customers.
- Excellent report‑writing skills and proficient in Microsoft applications.
We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
Compliance
Regular
Full‑time
Jan 28, 2025, 5:59:35 AM
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.