Market Conduct Investigator (1 Year Contract)

Job Profile Summary:

We are seeking a dedicated and detail-oriented Investigator to join our team. In this role, you will report to the Lead - Market Conduct Investigation and will be responsible for conducting thorough investigation into allegations of misconduct against Prudential's representatives and perform fitness and propriety assessment on new representatives to represent Prudential.

Job Description:

• Conduct investigations to gather information and evidence related to cases assigned

• Interview witnesses, representatives, and other individuals involved in cases.

• Utilize various investigative techniques and tools to ensure thorough and accurate results.

• Analyze and interpret data points to draw conclusions and make recommendations in accordance with internal guideline.

• Put up concise and reader friendly investigation report documenting investigation findings for approval.

• Collaborate with Group Investigation Team, Legal Team, and Business Unit as needed.

• Stay updated on industry trends, laws, and regulations.

• Maintain confidentiality and act with integrity throughout the investigation process.

• Present investigation findings to Disciplinary Committees for buy-in on findings and recommendation.

• Identify and review the weakness of current control process and recommending enhancements to strengthen process.

• Identify root cause of misconduct to prevent future occurrence.

• Undertake ad-hoc tasks, projects or reviews as directed by Lead - Market Conduct Investigation and Head - Sales Surveillance & Investigation

Who we are looking for:

Competencies & Personal Traits

• Self-motivated and driven.

• Good team player who possesses drive, initiative, an eye for detail, analytical and able to work independently under pressure.

• Good case management skill.

• Willingness to learn new skills, be flexible and grow with the Division.

• Basic understanding of the insurance industry and operations.

• Basic knowledge of regulations and industry guidelines applicable to the insurance/financial industry such as Insurance Act, Financial Advisers Act (FAA) and its subsidiary regulations, Monetary Authority of Singapore (MAS) regulations, Central Provident Fund (CPF) Board regulations, Life Insurance Association (LIA) guidelines.

Working Experience

• At least 3-5 years of experience in a compliance role in a financial institution or similar institution.

• Preferably with experience in investigation into customers complaint and dealing with Distribution functions.

Education

• Degree, preferably in Business, Insurance or Finance related fields