(922) Associate Investigator

Brief description

The main purpose of this position is to investigate non-compliance of regulated entities with relevant legislation and to facilitate sanctions and enforcement decisions taken by the Prudential Authority (PA), including the resolution of failed non-systemically important supervised institutions.

Detailed description

The successful candidate will be responsible for the following key performance areas:

• Work closely with the Senior Manager in developing standards, processes and procedures related to investigations within the PA.
• Analyse and provide guidance to the frontline teams in relation to the execution of sanctions and enforcement decisions.
• Conduct investigations into matters relating to the possible non-compliance of regulated entities with relevant legislation (e.g. banking- and insurance-related legislation).
• Report investigation findings and provide recommendations to the relevant authority within the PA.
• Provide secretariat support services to the PA Regulatory Action Committee, including, but not limited to, the preparation of agendas and minutes.
• Support the Chief Executive Officer (CEO) of the PA in following up on and actioning matters and ensuring that the decisions thereon are implemented.
• Ensure that matters of non-compliance of regulated entities with relevant legislation are appropriately channelled and addressed.
• Maintain a database of matters relating to regulated entities non-compliance with relevant legislation.
• Promote awareness across the PA with regard to the processes and procedures of matters relating to regulated entities non-compliance with relevant legislation.
• Work closely with the Senior Manager in developing standards, processes and procedures related to the resolution of failed non-systemically important supervised institutions.
• Engage with internal and external stakeholders, displaying the ability to solicit information and to communicate a clear and coherent message.