Attorney in Woodlands, Singapore

2 weeks ago


AB Canada LawCrossing Full time

Attorney in Woodlands, Singapore (General) Job Title Analyst/Assoc, Financial Advisers Act (FAA) Investigation Specialist, Group Compliance Job Responsibilities Conduct thorough investigations into potential breaches of the Financial Advisers Act and related regulations. Gather evidence and interview clients, financial advisors, and witnesses. Analyze financial records, client documentation, and other relevant materials to identify patterns of misconduct. Prepare detailed investigation reports with findings and recommendations for remediation. Collaborate with internal and external stakeholders, including insurers, the Financial Disputes Resolution Centre Ltd, regulatory bodies, and law enforcement agencies. Maintain accurate records of investigations. Stay abreast of changes in financial regulations and compliance requirements. Education and Experience Information A Diploma or Degree in a relevant field such as finance, law, or accounting is required. Relevant professional certifications like Certified Fraud Examiner are advantageous. Experience in financial investigations, compliance, or a related field is preferred. Strong knowledge of the Financial Advisers Act, Securities & Futures Act, and related regulations. Experience in financial planning with retail customers is beneficial. Preferred certifications include M5, M6, M8, M9, M1, Health Insurance, etc. Additional Skills Strong analytical and investigative skills are essential. Ability to work independently with minimum supervision in a fast‑paced banking environment. Strong problem‑solving skills and a strong team player. Ability to interact effectively with internal and external customers. Excellent report‑writing skills and proficiency in Microsoft applications. Salary Information The job description does not provide specific salary information. Note: The company name and some location-specific details have been replaced or removed to maintain confidentiality and adhere to the requested format. #J-18808-Ljbffr



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