Manager, Financial Advisers Act (FAA) Investigator
UOB · Central Region (City Area)
Full-timeonsitemidLegalLegal
รายละเอียดงาน / Description
Based in Singapore, this role involves investigating complaints related to the Financial Advisers Act (FAA) and its regulations. The investigator will conduct interviews, review sales documents, and assess compliance with regulatory requirements. Key responsibilities include identifying misconduct, reporting findings, and recommending remedial actions to ensure adherence to banking policies.
หน้าที่ความรับผิดชอบ / Responsibilities
- Investigate complaints concerning the Financial Advisers Act (FAA)
- Conduct interviews and review sales documents against regulations
- Assess investigation findings for sales process compliance and misconduct
- Report objective investigation findings and recommend actions
- Follow up on implemented remedial actions
- Assist with compliance requirements for business sectors
ทักษะที่ต้องการ / Required skills
- Financial Advisers Act (FAA)
- Regulatory Compliance
- Complaint Investigation
- Regulatory Reporting
- Sales Document Review
- Misconduct Assessment
- Remedial Action Planning
- Banking Policies
ทักษะเพิ่มเติม / Nice to have
- Compliance Requirements
- Business Sector Compliance