-NEW- 6 Months Distribution Monitoring Analyst (Financial Services)
Summary
6-month contract analyst monitoring distribution channels for compliance, investigating misconduct, and supporting regulatory reporting in a financial services context.
Job Responsibilities:
· Manage compliance reporting, misconduct trends and data analysis for distribution channels, ensuring accurate and timely completion of reports and submissions.
· Conduct thorough investigations into suspected agency misconduct, assess findings and recommend appropriate actions to address substantiated sales and conduct issues.
· Engage customers and distribution channels to gather relevant information and conduct fair, objective assessments of alleged misconduct.
· Monitor adherence to market and business conduct requirements across distribution channels, ensuring compliance with applicable regulations, industry standards and internal policies.
· Stay updated on relevant regulatory requirements, compliance standards and business rules to support effective conduct risk management.
· Support and deliver compliance projects and initiatives to meet regulatory requirements, strengthen controls and improve operational processes.
· Assist with policy replacement and appeal reviews, ensuring cases are assessed consistently and in accordance with established guidelines.
· Adhoc tasks and projects as assigned
Job Requirements
· Minimum Diploma in a related discipline
· Minimum 1years of relevant experience
· Able to start immediately or within short notice
Interested candidates, kindly email your detailed resumes in MS word format to joseph.koh@ambition.com.sg
Attention to Joseph Koh Wei Jie(R1873431)
Shortlisted candidates will be notified
www.ambition.com.sg
EA Registration Number: R1873431
Data provided is for recruitment purposes only
Business Registration Number:200611680D. License Number: 10C5117