The role involves conducting investigations into market misconduct referred by regulators or internal sources and presenting findings to a Disciplinary Committee
Job Summary
The role involves conducting investigations into market misconduct referred by regulators or internal sources and presenting findings to a Disciplinary Committee.
Candidates must possess strong critical thinking skills to distinguish fact from judgment while ensuring all investigations are properly documented and defensible.
The company offers a flexible hybrid working environment with a focus on employee well-being, inclusion, and career growth within a global financial services team.
Matching Summary
The role involves conducting investigations into market misconduct referred by regulators or internal sources and presenting findings to a Disciplinary Committee.
Skills & Requirements
Must-have
4 to 5 years investigation experience
Market conduct compliance background
Strong investigative mindset
Excellent report writing skills
Ability to work independently
Nice-to-have
Tech-savvy aptitude
Collaborative team-player mindset
Ethical and tenacious approach
Process enhancement interest
Key Requirements
Diploma or Degree in finance, business, law
FLMI or Diploma in Life Insurance preferred
Completion of CMFAS Exams (M5, M9, M9A, CHI, M8, M8A)