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Manager, Investigation

Job Description - Manager, Investigation

Description

Investigation Management

  • Lead and conduct investigations into market conduct-related matters, non-market conduct matters and non-reps related investigations.

  • Manage complex and sensitive investigations 

  • Partner with respective business units for investigations and regulatory engagements.

  • Follow up on the required actions such as administer appeals, actions to close the gaps. Manage communications with internal stakeholders to ensure alignment and timely completion of deliverables.

  • Identify emerging trends, systemic issues, control gaps, and conduct risks from investigation outcomes. 

Regulatory Reporting & MAS Engagement

  • Coordinate, review, and consolidate responses to MAS queries. 

  • Act as a liaison with internal stakeholders to obtain information required for regulatory submissions and responses.

  • Ensure regulatory communications are accurate, complete, well-supported, and consistently documented.

  • Maintain records of regulatory correspondence and submissions for audit and regulatory purposes. These responsibilities align with internal requirements for liaising with regulators, coordinating responses, and maintaining documentation.

  • Support preparation of reports for senior management.

Continuous Improvement

  • Contribute to the enhancement of investigation methodologies, frameworks, and reporting processes.

  • Identify opportunities to improve efficiency through technology and process automation.

  • Undertake additional duties and projects assigned by the Deputy Vice President or department head.




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