Distribution Compliance Associate - Insurance

Roles & Responsibilities

Job Summary

The Distribution Compliance Associate is responsible for ensuring the company’s distribution activities adhere to all regulatory requirements and internal policies. This role focuses on monitoring market conduct, investigating potential misconduct, and supporting compliance oversight across advisory and sales functions.

Key Responsibilities

• Monitor sales and advisory activities to ensure compliance with applicable regulations (e.g., MAS, FCA, SEC).
• Conduct market conduct investigations into sales misconduct, product mis-selling, or regulatory breaches.
• Review marketing materials and sales scripts for regulatory compliance.
• Support audits, regulatory inspections, and internal reviews related to distribution.
• Maintain up-to-date knowledge of regulatory changes affecting distribution practices.
• Provide compliance training and guidance to representatives and distribution teams.

Requirements

Company Reg No. : 201131609D | License No. : 24S2411 | Reg No : R1110891 | JL

Tell employers what skills you have

Sponsorship

Regulatory Compliance

Assurance

Compliance

Attention to Detail

Audits

Prevention

Internal Audit

Financial Advisory

Regulatory Requirements

Stakeholder Management

Audit

Financial Services