- Provide support for day-to-day operations by assisting in the team’s functions
- Assist in monitoring competency standards required of supervisors and representatives to ensure alignment with regulatory and industry guidelines
- Ensure timely reviews and follow up with representatives on cases triggered by Company approved monitoring system, and information via other sources reported to the department
- Perform trend analysis to detect potential sales advisory and market conduct risks
- Address all queries and concerns from various internal and external stakeholders
- Updating of SOPs and internal guidelines when required
- Takes accountability in considering business and regulatory compliance risks and takes appropriate steps to mitigate the risks.
- Highlights any potential concerns /risks and proactively shares best risk management practices.
- Other adhoc duties as assigned.
Joy Yeow Zhi Qian
(CEI Registration No:R2096261)
Recruit Express Pte Ltd (EA Licence No: 99C4599)
