Job responsibilities:
- Conduct end-to-end Balanced Scorecard audits (“BSC”) including reviewing of fact find documentations to ensure proper advisory process were carried out
- Perform client surveys through call-backs or mailing of survey forms to determine if FAs have met the stipulated standards relating to FAIR BSC framework, FAA or relevant legislations
- Follow up on Client Service Recovery rectifications till completion.
- Conduct training / provide guidance to FAs on common infractions.
- Implement the Group requirements for compliance with MAS Consultation Papers that impacts BSC.
- Stay abreast of the MAS/FAA and related regulatory requirements.
Requirements:
- Min. Diploma/Degree qualification with prior relevant experience in sales compliance, market conduct, within financial or insurance industry
- Knowledge of regulatory requirements e.g. MAS (FAA/FAR etc) and BSC framework
Interested applicants are welcome to email detailed resume to: [email protected]
EA Licence No.: 99C4599
EA Personnel Registration: R1104662
EA Personnel Name: Celine Tan Si Ling
Note that only shortlisted candidates will be notified
