job description
Are you a detail-oriented professional with a passion for regulatory compliance and integrity within the insurance sector? Our client, a leading financial institution, is seeking a diligent Market Conduct Investigation Associate/Senior Associate to join their team. This is a critical role responsible for safeguarding market standards and ensuring fair dealing outcomes for policyholders.
In this position, you will play a pivotal role in investigating potential market conduct issues, reviewing sales practices, and ensuring adherence to regulatory frameworks. You will work closely with internal stakeholders to analyze complex data sets, conduct interviews, and prepare detailed investigative reports. This role offers an excellent opportunity to gain exposure to high-level compliance workflows within the insurance industry.
The successful candidate will demonstrate a strong analytical mindset, the ability to navigate complex regulatory requirements, and excellent communication skills to articulate findings effectively. If you are looking to advance your career in financial services compliance, this contract role provides a platform to refine your investigative skills in a professional and fast-paced environment.
Responsibility
- Conduct thorough investigations into potential breaches of market conduct standards and internal policies.
- Analyze sales documentation, audio recordings, and policy records to identify irregularities in advice provided.
- Interview relevant stakeholders, including financial advisors and sales representatives, to gather facts and evidence.
- Draft comprehensive investigation reports, detailing findings, supporting evidence, and recommended disciplinary actions.
- Collaborate with the Compliance and Legal departments to ensure investigations align with current regulatory requirements.
- Monitor and track market conduct trends to proactively identify areas of potential risk.
- Participate in periodic audits and provide support during regulatory inquiries or inspections.
- Maintain high levels of data integrity and confidentiality throughout the investigative lifecycle.
Qualifications
- Bachelor’s degree in Business, Finance, Law, or a related field.
- Minimum 2-4 years of experience in insurance, compliance, audit, or regulatory investigations.
- Solid understanding of the insurance regulatory landscape and fair dealing principles.
- Proven ability to manage sensitive information with discretion and professional judgment.
- Excellent analytical skills, with a keen eye for detail and the ability to spot inconsistencies in data.
- Strong written and verbal communication skills, with experience in technical report writing.
- Ability to work independently and meet tight deadlines in a dynamic contract environment.
- Proficiency in MS Office Suite, particularly Excel for data analysis and report preparation.