Manager, Investigation

Job Overview

The Manager of Investigation will oversee and lead various complex and sensitive investigations concerning market conduct issues, non-market conduct matters, and other investigations unrelated to representatives. This role demands coordination with various business units and regulatory bodies while ensuring the timely resolution and proper documentation of all investigative and regulatory activities.

Key Responsibilities

• Lead and execute investigations on market conduct and other relevant matters with complexity and sensitivity.
• Collaborate closely with business units during investigations and regulatory interactions.
• Manage follow-up activities, including overseeing appeals and closing identified gaps, while communicating effectively with internal teams to ensure alignment and deadlines are met.
• Analyze investigation results to detect emerging trends, systemic problems, control deficiencies, and risks associated with conduct.
• Coordinate responses to regulatory queries from the Monetary Authority of Singapore (MAS), ensuring accuracy, completeness, and thorough documentation of communications.
• Liaise with internal stakeholders to gather information essential for regulatory submissions and maintain comprehensive records for compliance and audit purposes.
• Assist in preparing reports for senior leadership dissemination.
• Drive continuous enhancements in investigation processes, frameworks, and reporting mechanisms.
• Spot opportunities to leverage technology and process automation to boost operational efficiency.
• Undertake additional assignments and projects as directed by senior management.

Additional Information

This role entails responsibility for maintaining alignment with internal requirements while managing regulatory correspondence and submissions. The position contributes to both the operational effectiveness and compliance posture by identifying risks and improving investigative procedures.