Vice President, Market Conduct Investigations - HSBC Life

We are currently seeking a high calibre professional to join our team as a Vice President, Market Conduct Investigations.
 
In this role you will:

• Conduct and manage investigations into market misconduct complaints, suspected breaches, sales-practice concerns and other market conduct matters. Prepare clear, accurate and well-supported investigation reports, including findings, risk assessments and recommended actions.
• Assess allegations, determine investigation scope and develop proportionate investigation plans. Assess evidence objectively, identify key facts and determine root causes and contributing factors.
• Track and monitor remediation, customer-impact, disciplinary and control-enhancement actions arising from investigations. Identify potential control gaps, recurring issues, behavioural trends and emerging conduct risks.
• Perform market conduct compliance reviews and targeted assessments relating to financial advisory, sales and distribution activities. Review adherence to applicable regulatory requirements, internal policies, procedures and approved business practices.
• Support thematic reviews and management information reporting on market conduct risks and investigation outcomes. Maintain and observe policies and procedures governing market conduct investigation and distribution compliance activities.
• Prepare accurate and timely responses to information requests and queries from the Monetary Authority of Singapore and other relevant regulators or government agencies. Coordinate information gathering with Compliance, Legal, business and other relevant stakeholders. Support regulatory inspections, reviews and enquiries relating to market conduct, financial advisory and distribution activities.
• Provide reference checks for market conduct records, including prior investigations, complaints, findings and remediation actions, subject to applicable confidentiality and access requirements.
• Provide appropriate cover for team members during periods of absence. Undertake other ad hoc duties and projects assigned by management.

To be successful you will need: 

• Direct experience in market conduct investigations is strongly preferred.
• Relevant experience conducting investigations into market misconduct, financial advisory misconduct, sales-practice concerns, customer complaints, suitability issues, mis-selling, disclosure breaches, conflicts of interest or other distribution-related conduct matters. Demonstrable experience managing investigations from initial allegation or complaint through to findings, recommendations and follow-up actions.
• Degree in Business, Finance, Law, Compliance or a related discipline; or Diploma in Compliance or a related discipline with substantial relevant market conduct investigation experience.
• Relevant professional qualifications in compliance, financial advisory, investigation or regulatory practice would be advantageous.
• Good knowledge of the Financial Advisers Act and relevant MAS Notices, Guidelines and regulatory expectations. Practical understanding of market conduct risks arising from financial advisory, sales and distribution activities.
• Ability to handle confidential, sensitive and potentially contentious matters with professionalism and discretion. Ability to work independently while contributing effectively to a collaborative team environment.

You’ll achieve more when you join HSBC.

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by HSBC Life (Singapore) Pte Limited

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