Senior Distribution Compliance Surveillance Officer (Insurance, Up to $5.5k) (ID: 656383)
Full-time
Senior Executive
1 week ago
Responsibilities:
The person will conduct agency reviews and trend analysis to identify potential gaps and areas for improvement, and implement enhan..
Responsibilities:
The person will conduct agency reviews and trend analysis to identify potential gaps and areas for improvement, and implement enhanced framework for the distribution reps so that they can conduct proper sales advisory processes for their policyholders and provide them with quality advice and suitable recommendations.
- Provide support for day-to-day operations by assisting in the team’s functions
- Conduct training for representatives on the sales advisory process and point-of-sales system
- 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
- Assist in developing and implementing communication plans on competency standards
- Engage and coach representatives and supervisors in areas of sales activity, quality of sales / sales management, and training needs as and when required
- Perform trend analysis to detect potential sales advisory and market conduct risks
- Address all queries and concerns from various internal and external stakeholders
- Assist in the execution of special projects / initiatives
- Updating of SOPs and internal guidelines when required
- Perform other work as required to meet business needs
- Takes accountability in considering business and regulatory compliance risks and takes appropriate steps to mitigate the risks.
- Maintains awareness of industry trends on regulatory compliance, emerging threats and technologies in order to understand the risk and better safeguard the company.
- Highlights any potential concerns /risks and proactively shares best risk management practices.
Requirements:
- Degree holder in any discipline
- 1-3 years of compliance / investigation / sales experience in Financial Services or Insurance Industry would be an added advantage
- CMFAS qualification (M5, M9, M9A and HI) would be an added advantage
- Proficient in MS Office (Word, Excel and PowerPoint)
- Meticulous, systematic, able to work well independently and as a team in a fast-paced environment
- Strong analytical and problem-solving skills
- High level of integrity and accountability of work
- Take initiative to improve current state of work and adaptable to embrace new changes
Interested candidates who wish to apply for the advertised position, please click on “Apply”. We regret that only shortlisted candidates will be notified.
EA License No.: 01C4394 (PERSOLKELLY Singapore PTE LTD)
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