Job Description
The Section Head, Investigation, Surveillance, and Fit & Proper is responsible for leading and managing a team that oversees investigations and F&P assessments related to the Company's representatives, conducts surveillance and monitoring of their sales conduct through analytics, ensures timely internal and external reporting, and manages relationships with key stakeholders. This role demands strategic vision, integrity, and strong cross-functional collaboration to coordinate complex cases, drive operational excellence, and maintain high standards of governance and accountability, thus safeguarding the stability, credibility, and continual improvement of the section.
Lead, supervise, and develop the Investigation and F&P teams, ensuring effective collaboration and high performance across all functions.
Oversee the end-to-end management of complex and high-volume investigative cases, ensuring thorough pre-planning, timely execution, and comprehensive wrap-up activities are conducted to uphold operational excellence.
Direct F&P assessments for new applicants and existing Representatives, ensuring rigorous adherence to established criteria and regulatory standards.
Utilize data analytics to monitor, analyse, and generate insights into the sales conduct and performance of the Agency force, proactively identifying emerging risks and trends to inform decision-making and support ongoing improvement.
Coordinate cross-functional efforts and maintain robust relationships with internal departments and external stakeholders, including regulatory agencies such as MAS, CPFB, and enforcement bodies, to ensure alignment and compliance in all investigative processes.
Apply risk and control concepts to investigative and assessment scenarios, identifying potential issues and reporting them promptly to the Supervisor for timely resolution and appropriate enforcement actions.
Safeguard the stability, credibility, and continuous improvement of the section by fostering a culture of integrity and accountability, while reinforcing stakeholder confidence in the Company's investigative processes.
Collaboration with the Distribution Risk and Compliance department to raise awareness and educate Representatives to adhere with all relevant Company policies, guidelines, circulars, notices, and directives, as well as external laws, regulations, and guidelines.
