About the role
FinEx AI summary
Lead end-to-end investigations of intermediary misconduct allegations, including fact-finding, interviews, evidence reviews, and analysis of policy, customer, payment, and transactional records. Determine conduct breaches, root causes, control weaknesses, and potential customer, regulatory, and reputational impact. Investigate allegations involving misrepresentation and forged signatures.
Core skills
InvestigationsFact-findingInterviewingEvidence reviewPolicy reviewDocumentation review