Market Conduct Investigation, AVP
Our client is a leading organization committed to upholding high standards of compliance within a regulated financial services environment. They foster a culture of integrity, professionalism, and continuous improvement. This role involves leading and executing market conduct investigations and advisory work, assessing potential misconduct, and ensuring regulatory compliance. The position offers an opportunity to contribute significantly to maintaining the organization’s reputation for compliance excellence.
Role Overview:
This role is pivotal in conducting investigations related to market misconduct complaints, performing compliance reviews, and liaising with regulators. The AVP will support policy maintenance and oversee follow-up actions to uphold internal controls. The position is essential for ensuring that the company’s compliance standards align with regulatory requirements and internal policies.
Key Skills & Experience:
• Over 3 years of experience in compliance, investigations, or related functions (preferably in Banking/Insurance or enforcement industry)
• Working knowledge of the Financial Advisers Act (FAA) and MAS regulations
• Strong analytical, writing, and stakeholder management skills
• Proven ability to manage multiple priorities under tight deadlines
Key Responsibilities:
• Conduct investigations into market misconduct complaints and execute necessary follow-up actions
• Perform market conduct compliance reviews and monitor remediation efforts
• Prepare responses to queries and information requests from regulators and government agencies
• Maintain and observe policies and procedures for distribution compliance activities
• Observe internal control standards and implement recommendations from auditors and regulators
• Cover duties of team members in their absence
• Provide reference checks for market conduct records
• Support ad-hoc duties and projects as assigned
Requirements:
• Diploma in Compliance or equivalent, or Degree in Business, Finance, or related field
• Relevant experience in compliance or investigation background, preferably from law enforcement agencies
• Knowledge of the Financial Advisers Act (“FAA”) and relevant MAS Notices and Guidelines
• Strong analytical, problem-solving, and documentation skills
• Excellent communication and writing skills in English
• Ability to manage multiple cases with good prioritisation and follow-through
• Resilience, integrity, and the ability to work under pressure
• On-site work environment
If you meet the requirements and are looking to advance your career in a dynamic compliance role, please apply now.
