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.
* Analyse 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/Degree in a relevant field (., finance, law, accounting) and/or relevant professional certifications (., Certified Fraud Examiner).
* Experience in financial investigations, compliance, or a related field would be an advantage.
* Strong analytical and investigative skills.
* Strong knowledge of the Financial Advisers Act, Securities & Futures Act, and related regulations.
* Experience in financial planning with retail customers.
* Good analytical skills with the ability to work independently with minimum supervision in a fast-paced banking environment.
* Strong problem-solving and investigative skills.
* Strong team player with the ability to interact effectively with internal and external customers.
* Excellent report-writing skills and proficient in Microsoft applications.
Salary Information The job description does not provide specific salary information.
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