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Conducts investigation into customers' complaints lodged with the Company and/or Authorities independently
Perform the end-to-end of an investigation independently – conduct interviews, analyse information, gather evidence etc.
Prepare and issue comprehensive reports containing objective analysis & recommended follow-up actions within the standard turnaround timeline.
Maintain and prepare monthly statistical reports for internal and external stakeholders. Filing of any misconduct to MAS
Conduct trend analysis on the complaints received and able to give sound recommendations
Stays abreast of the MAS requirements, the FAA and related regulatory requirements
Performs regular/thematic/ad-hoc audit to ensure compliance with legislation and company policies & procedure in accordance to RM&C annual Workplan. Example includes (the list is non exhaustive):
Branch Visit audit to ensure Branches are operating in accordance to the Company's policies and related regulations before collating and submitting Branch Visit Report to Supervisors for review and approval
Review of 2FAs
Review for adherence to the Events & Marketing Handbook etc
Handling Representatives and/or other departments' queries on compliance/market conduct related matters.
Handling of external parties' queries
Assist and participate in Projects as and when required.
Provide support to the Supervisor when required i.e. preparation of presentation slides, coordination with the relevant stakeholders.
Take ownership of tasks assigned by the Supervisor and ensure prompt follow-up.
Qualifications & Experience
At least 2 - 3 years of working experience in an compliance, external or internal audit in a financial institution such as banks or in a FA industry
Familiar with sales advisory process
Knowledge of MAS regulations & FAA will be an added advantage
Company Reg no: 201131609d
EA Licence no: 11C4684
EA Reg no: R1877280
Internal Number: 6182055
About LMA Recruitment, EA Licence No: 11C4684
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