Team Member - Market Conduct Compliance
- Perform checks and fulfil all relevant requirements under the MAS Balanced Scorecard Framework for sales representatives and the Bank's policies and procedures.
- Monitor the BSC results, identify root causes of significant lapses and common errors, and pursue remediation.
- Conduct training on vulnerable safeguards and BSC Framework for new hires, and guide new supervisors on BSC checks and complaint investigation.
- Provide independent review of customer complaints relating to investment sales.
- Keep checks current with developments in the regulatory environment and the internal processes and systems.
- Automate independent sales audit workflow by leveraging on RPA, system automation and AI.
- Branch Banking
- Regulatory Compliance Unit
- Customer Assurance
- External vendor for customer survey and mystery surveys
- Degree with minimum of 3 years of sales compliance experience in the banking sector.
- Good level of knowledge of the regulations governing the sale of investment products to retail customers (egs. Financial Advisory Act, MAS Guidelines on Fair Dealing).
- Attention to detail and excellent analytical skills.
- Great computer skills (egs. Microsoft Excel, Word, PowerPoint, programming skills)
- Strong interpersonal, written and oral communication skills.