Market Conduct Investigation

Company : Michael Page

Job Description - Market Conduct Investigation

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

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Market Conduct Investigation

Job Description - Market Conduct Investigation

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