Executive, Market Conduct

Roles & Responsibilities

Professional Investment Advisory Services Pte Ltd (“PIAS”) has one of the largest, most respected and fastest growing network of financial advisers in Singapore. PIAS is wholly owned by Singapore Life Ltd (“Singlife”). Established in 2001 and licensed by the Monetary Authority of Singapore, PIAS is a multi-award winning financial advisory firm in Singapore and offers a diversified suite of financial services and solutions with a personalized approach.

General Description :

Assist the Market Conduct Lead in managing market conduct risk.

Key Accountabilities :

Compliant Handling Resolution :

• To assess and investigation into the complaints lodged by Clients, product providers and Authority / escalations by other Business Units independently.
• Assist the Market Conduct Lead in the review of investigation report to ensure objective analysis & the appropriateness of the disciplinary and remediation actions.
• Drafting and the issuance of investigation outcome letters to Client, Representatives, Product Provider and Authority.

AML & CFT Compliance

Review and assess daily name screening alerts, to determine next course of action e.g. for closure / further escalation / obtain approvals etc.

Other Ad-hoc Duties :

Requirement

If you find yourself able to demonstrate the criteria above, apply with us now. We look forward to your application.

Tell employers what skills you have

Licensing

Investment Advisory

Remediation

Investigation

Administration

Audits

Fraud

Financial Advisory

Screening

Directing

Audit

Financial Services