Market Conduct Investigation
With a strong focus on governance and customer outcomes, the organisation places high importance on market conduct, regulatory compliance, and robust internal controls. Job Description Conduct investigations into market conduc
Opportunity to work in a highly regulated financial instituition Hands-on investigation role with exposure to regulatory responses About Our Client Our client is a well-established and highly regulated financial services organisation operating in the life insurance sector.With a strong focus on governance and customer outcomes, the organisation places high importance on market conduct, regulatory compliance, and robust internal controls. Job Description Conduct investigations into market conduct-related complaints and oversee follow-up actions through to resolution Carry out market conduct compliance reviews and monitor remediation actions Prepare responses to enquiries and information requests from regulators and relevant government agencies Maintain and adhere to established policies and procedures governing distribution compliance activities Ensure compliance with internal control standards and group compliance policies, including implementing recommendations from internal audits, external audits and regulators Provide coverage for team members during periods of absence and support overall team operations Perform reference checks relating to market conduct records and maintain accurate documentation Support ad hoc tasks and special projects related to compliance and investigations as required The Successful Applicant Diploma in Compliance or a related field, or a degree in Business, Finance or equivalent Relevant experience in compliance, investigations or regulatory roles, preferably within financial services, insurance or law enforcement Working knowledge of the Financial Advisers Act (FAA) and applicable MAS Notices and Guidelines Strong analytical and problem-solving capabilities with attention to detail Disciplined approach to documentation and case management Clear written and verbal communication skills for regulatory and internal stakeholders Ability to manage multiple cases concurrently with sound prioritisation and follow-through What's on Offer Exposure to regulatory engagement and complex market conduct issues Collaborative team culture with learning opportunities in compliance and investigations