Compliance Assistant Manager (Investigation)

Job description

​Charterhouse is currently supporting a reputable Insurer to source for a Compliance Assistant Manager. The incumbent will be responsible for actively monitoring and detecting any signs of misconduct or market abuse by distribution representatives.

RESPONSIBILITIES:

The incumbent will be tasked to analyze key risk indicators through trend analysis to detect emerging misconduct risks or new initiatives, using the data he/she will identify areas of concern that require further investigation and identify clusters of issues or risks.

You will be responsible in conducting pre-transactions checks on representatives and perform sample service calls to ensure compliant of the sales force. You will be tasked to identify any mis-selling and reach out to affected representatives for client service rectification.

You should take ownership in considering business and regulatory compliance risks,and take appropriate measures to mitigate these risks.

REQUIREMENTS:

• Degree with 3 years of investigation experience in the financial sector

• Experience in audits with financial services or insurance industry would be an added advantage

• Inquisitive and curious to delve deep into data to investigate trends or anomalies

• A natural curiosity to identify and explain trends and patterns in data and an ability to analyzes and break down complex concepts and technical findings into clear and simple language for communication

• Committed and able to interact well with all levels of staff

Please contact Xuan Kwok at +65 6950 0354 or XuanK@charterhouse.com.sg for a confidential discussion.

EA License no: 16S8066 | Reg no.: R1433611

Only successful candidates will be notified.

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