Job Summary

The Distribution Compliance Associate is responsible for ensuring the company’s distribution activities adhere to all regulatory requirements and internal policies. This role focuses on monitoring market conduct, investigating potential misconduct, and supporting compliance oversight across advisory and sales functions.

Key Responsibilities

• Monitor sales and advisory activities to ensure compliance with applicable regulations (e.g., MAS, FCA, SEC).

• Conduct market conduct investigations into sales misconduct, product mis-selling, or regulatory breaches.

• Review marketing materials and sales scripts for regulatory compliance.

• Support audits, regulatory inspections, and internal reviews related to distribution.

• Maintain up-to-date knowledge of regulatory changes affecting distribution practices.

• Provide compliance training and guidance to representatives and distribution teams.

Requirements

• Degree in Law, Finance, Business, or related field.

• 1-3 years of experience in compliance with financial advisory or insurance.

• Familiarity with market conduct rules, product suitability, and regulatory frameworks.

• Strong analytical and investigative skills.

• Excellent communication and stakeholder management abilities.