Manager, Investigation

Investigation Management

• Lead and conduct investigations into market conduct-related matters, non-market conduct matters and non-reps related investigations.
• Manage complex and sensitive investigations
• Partner with respective business units for investigations and regulatory engagements.
• Follow up on the required actions such as administer appeals, actions to close the gaps. Manage communications with internal stakeholders to ensure alignment and timely completion of deliverables.
• Identify emerging trends, systemic issues, control gaps, and conduct risks from investigation outcomes.

Regulatory Reporting & MAS Engagement

• Coordinate, review, and consolidate responses to MAS queries.
• Act as a liaison with internal stakeholders to obtain information required for regulatory submissions and responses.
• Ensure regulatory communications are accurate, complete, well-supported, and consistently documented.
• Maintain records of regulatory correspondence and submissions for audit and regulatory purposes. These responsibilities align with internal requirements for liaising with regulators, coordinating responses, and maintaining documentation.
• Support preparation of reports for senior management.

Continuous Improvement

• Contribute to the enhancement of investigation methodologies, frameworks, and reporting processes.
• Identify opportunities to improve efficiency through technology and process automation.
• Undertake additional duties and projects assigned by the Deputy Vice President or department head.