Associate, Financial Advisers Act (FAA) Investigation Specialist, Group Legal, Compliance & Sec[...]

Associate, Financial Advisers Act (FAA) Investigation Specialist, Group Legal, Compliance & Secretariat

Description

Business Function

Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.

Job Purpose

We are looking for a passionate and curious individual to join our Financial Advisers Act (FAA) Investigation Team. As an Investigation Specialist, you should be passionate in uncovering the truth and will assume responsibilities to ensure that investigations are conducted and completed in a comprehensive and timely manner, resulting in a fair outcome for the customer.

Responsibilities

• Conduct thorough investigations into potential breaches of the Financial Advisers Act and related regulations.
• Gather evidence, and interview clients, financial advisors and witnesses.
• Analyse financial records, client documentation, and other relevant materials to identify patterns of misconduct.
• Prepare detailed investigation reports with findings and recommendations for remediation.
• Collaborate with internal and external stakeholders, including Insurers, the Financial Disputes Resolution Centre Ltd, regulatory bodies and law enforcement agencies.
• Maintain accurate records of investigations.
• Stay abreast of changes in financial regulations and compliance requirements.

• A Diploma / Degree in a relevant field (e.g. finance, law, accounting) and/or relevant professional certifications (e.g. Certified Fraud Examiner).
• Experience in financial investigations, compliance, or a related field would be an advantage.
• Strong analytical and investigative skills.
• Strong knowledge of the Financial Advisers Act, Securities & Futures Act and related regulations.
• Experience in financial planning with retail customers.
• Preferred Certifications - M5, M6, M8, M9, M1, Health Insurance, etc.
• Good analytical skills with ability to work independently with minimum supervision in a fast-paced banking environment.
• Strong problem-solving and investigative skills.
• Strong team player with ability to interact effectively with internal and external customers.
• Excellent report-writing skills and proficient in Microsoft applications.