Market Conduct Compliance Market Conduct Compliance …

LMA Recruitment
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 10 Sep 19
LMA Recruitment
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 10 Sep 19
LMA Recruitment
Top leading insurance company is looking for a Executive/ Senior Executive to join their growing team

Complaints Handling/Investigation

  • Conducts investigation into customers’ complaints lodged with the Company and/or Authorities independently
  • Perform the end-to-end of an investigation independently – conduct interviews, analyse information, gather evidence etc.
  • Prepare and issue comprehensive reports containing objective analysis & recommended follow-up actions within the standard turnaround timeline.
  • Maintain and prepare monthly statistical reports for internal and external stakeholders. Filing of any misconduct to MAS
  • Conduct trend analysis on the complaints received and able to give sound recommendations
  • Stays abreast of the MAS requirements, the FAA and related regulatory requirements



  • Performs regular/thematic/ad-hoc audit to ensure compliance with legislation and company policies & procedure in accordance to RM&C annual Workplan. Example includes (the list is non exhaustive):
    • Branch Visit audit to ensure Branches are operating in accordance to the Company’s policies and related regulations before collating and submitting Branch Visit Report to Supervisors for review and approval
    • Review of 2FAs
    • Review for adherence to the Events & Marketing Handbook etc


Queries Handling

  • Handling Representatives and/or other departments’ queries on compliance/market conduct related matters.
  • Handling of external parties’ queries


Project Management

  • Assist and participate in Projects as and when required.
  • Provide support to the Supervisor when required i.e. preparation of presentation slides, coordination with the relevant stakeholders.
  • Take ownership of tasks assigned by the Supervisor and ensure prompt follow-up.


Qualifications & Experience

  • Degree holder
  • At least 2 - 3 years of working experience in an compliance, external or internal audit in a financial institution such as banks or in a FA industry
  • Familiar with sales advisory process
  • Knowledge of MAS regulations & FAA will be an added advantage

Company Reg no: 201131609d

EA Licence no: 11C4684

EA Reg no: R1877280


Company Overview

Big enough to find the best.

Small enough to really know them.

It’s easy to get pompous about what we do. To name drop our global clients or wax lyrical about ‘pioneering psychometric testing’. But if you’re not careful, you lose sight of what’s really important; relationships and people.

Without relationships, you don’t truly understand the client, their business culture and who they really need. You miss the nuances of each candidate, the human behind the CV and what makes them tick. And the ‘right fit’ slowly starts to blister.

Since 1999, LMA has supplied great candidates to blue-chip businesses in London and Singapore. We draw on in-depth market intelligence and use industry-leading tools to search, screen and select. We have specialist consultants and a global network. And we’re professional beyond measure. 

But we never lose sight of what matters; how important the right people are to businesses, and the right careers are to people.