Associate/Assistant Director, Financial Advisers Supervision
Core
Supervise financial institutions (banks, insurers, brokers) conducting financial advisory activities and insurance broking to uphold market conduct standards.
Role type
Senior regulatory supervisor (financial advisory & insurance)
Builds
Supervisory frameworks, risk management assessments, and market conduct compliance for financial intermediaries
Domain
Financial regulation, market conduct, risk management
Deliverable
production ML models | dashboards & analysis
Required skills
audit, data analytics, risk management assessment, internal controls evaluation, regulatory compliance, data visualization, legislative analysis
Preferred skills
AI application for business problems, advanced analytics
Technologies
data visualization tools, AI tools
Responsibilities
Assess adequacy of risk management systems and internal controls via onsite/offsite reviews, conduct data analytics to develop supervisory indicators, review legislative changes and supervision processes, interact with external audit firms and regulators