• Conduct investigations in relation to market misconduct complaints and follow-up actions; • Perform market conduct compliance reviews, monitor and implement follow- up actions; • Liaise with the Regulator and relevant Government Agencies; • Maintain and revise policies and procedures for the general operation of distribution compliance activities; • Assist in the preparation of Compliance reporting relevant for Compliance meetings; • Cover duties of team leader and members in his/her absence; and • Any other ad-hoc duties and projects assigned by the Senior Manager, Compliance and the Director, Legal and Compliance.
Successful qualifier of this mission
• Diploma in Compliance or equivalent • Degree in Business, Finance or equivalent
Specific job related experience • Compliance • Minimum 3 – 4 years Investigation background from law enforcement agencies
Qualities • Strong Analytical Skills • Meticulous • Strong Communication and Writing Skills