Experience

Singlife

• Singapore
• Insurance
• 700 & Above Employee

• Market Conduct Investigation Officer

  • Jan 2022 - Present

  1. Deliver fair dealing outcome to customers by handling market conduct investigation in an independent, effective and prompt manner 2. Development of compliance self - assessment checklists Operational 3. Review and update the disciplinary framework. Market Conduct Complaints & Investigation 4. Ensure that market conduct investigation are handled in an independent, effective and prompt manner. 5. Ensure the disciplinary framework is updated and endorsed by the management committee. 6. Proactive detection of financial advisory misconduct. 7. Coordinate and compile police/ MAS’ request for information and documents. Reporting 8. Assist in preparation of regular statistics / reports as required for internal review or for submission to the relevant local authorities or Group. 9. Prepare reports for management and board committees Show less



AIA

• Hong Kong
• Insurance
• 700 & Above Employee

• Market Conduct Investigation Officer

  • Sep 2018 - Jan 2022

  - Investigate on complaint cases received - Carry out investigation and report on agent manipulation of incentive schemes, possible agent collusion with clients, and any other market mis-conduct - Conduct investigation on customer complaints and review cases in a fair, effective and prompt manner. - Interviews with agents - Investigation by groups and individuals - Documentation review and call surveys - Balanced scorecard framework - Market conduct guidelines - Prepare investigation report on misconduct - Review of marketing materials approval - Trend analysis of high risk agents Show less



finexis advisory Pte Ltd

• Singapore
• Financial Services
• 500 - 600 Employee

• Client Servicing

  • May 2018 - Aug 2018

  - Provide assistance to organization’s clients - Update, maintain or access client accounts, transaction or documents - Ensure all necessary paperwork has been received by the client and filed properly - Perform administrative duties - Provide assistance to organization’s clients - Update, maintain or access client accounts, transaction or documents - Ensure all necessary paperwork has been received by the client and filed properly - Perform administrative duties



Ching, Liaw & Yap

• Audit Assistant

  • Mar 2015 - Apr 2018

  - Conduct external audits and tax filing for companies - Produced financial statements reports documenting audit processes and balances - Identified accounting issues, reconciled accounts, and provide solutions - Conduct external audits and tax filing for companies - Produced financial statements reports documenting audit processes and balances - Identified accounting issues, reconciled accounts, and provide solutions