Compliance Senior Analyst

Position Responsibilities

• 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 on 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 investigation-related emails and take appropriate follow-up actio...