Compliance / Market Conduct Investigation l 6-month contract l Up to $8K

Principal Responsibilities

• Conduct investigations into market misconduct complaints and ensure appropriate follow-up actions are implemented
• Perform market conduct compliance reviews, including monitoring and tracking remediation activities
• Prepare and submit responses to queries and information requests from regulators and relevant government agencies
• Maintain and ensure adherence to policies and procedures governing distribution compliance activities
• Uphold internal control standards and ensure compliance with Group Compliance policies, including timely closure of audit and regulatory findings
• Provide coverage for team members during absences to ensure continuity of operations
• Perform reference checks for market conduct records
• Support ad-hoc projects and additional tasks assigned by management

Requirements

• Degree or Diploma in Compliance, Business, Finance, or a related field
• Relevant experience in compliance or regulatory investigations, or a background in law enforcement agencies, is beneficial
• Knowledge of the Financial Advisers Act (FAA) and relevant MAS Notices and Guidelines
• Excellent analytical and problem-solving capabilities
• Ability to manage multiple cases and tasks effectively with good prioritisation and follow-through