Compliance Senior Analyst

Assist in preparatory investigation work, including the preparation of case folders by compiling representatives’ adverse records, policy information, and other relevant documentation for review prior to the commencement of investigations.

Track and maintain investigation case status in the investigation register and AMS, and ensure the data are updated accurately and a timely basis.

Update FIDREC registry and ensure proper filing of investigation related documents.

Provide administrative support for reference checks and verification of representatives’ adverse records.

Assist in organizing Disciplinary Committee meetings, including scheduling and preparation of materials for circulation.

Assist in preparation and submission of regulatory and internal reporting relating to investigation cases.

Monitor the shared mailbox for investigatio...