Specialist/Consultant, Investigations, Compliance
Core
Investigate complaints and misconduct, review marketing materials, and conduct sales compliance reviews to mitigate regulatory risks in the insurance/financial sector.
Role type
Compliance investigations specialist
Builds
Market conduct framework and compliance assurance
Domain
Insurance / Financial Services
Deliverable
dashboards & analysis
Required skills
Data mining, Regulatory investigation, Compliance auditing, Risk mitigation, Stakeholder collaboration, Remediation planning
Preferred skills
Analytical ability, Communication skills
Technologies
Data mining applications
Responsibilities
Handle complaints and feedback from whistle-blowers and regulators; Investigate customer complaints and misconduct allegations; Vet product, sales, and marketing materials for accuracy; Conduct regular sales compliance reviews and portfolio assurance testing; Identify control lapses and develop remediation plans; Partner on compliance training and awareness activities.