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Distribution Compliance Associate - Insurance

Distribution Compliance Associate - Insurance

LMA RECRUITMENT SINGAPORE PTE. LTD.D01 Cecil, Marina, People’s Park, Raffles Place, SG
28 days ago
Job description

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

  • Degree in Law, Finance, Business, or related field.
  • 1-3 years of experience in compliance with financial advisory or insurance.
  • Familiarity with market conduct rules, product suitability, and regulatory frameworks.
  • Strong analytical and investigative skills.
  • Excellent communication and stakeholder management abilities.
  • 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

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    Compliance Associate • D01 Cecil, Marina, People’s Park, Raffles Place, SG