Independent Sales Audit (ISA) Analyst (EJN)

Elitez Pte Ltd; Singapore; On-site; SGD 70,000 - 110,000; Full time

Job summary

Elitez Pte Ltd is seeking a governance and compliance professional to strengthen fair dealing standards across investment sales. You will work with business, compliance, and regulatory teams to ensure MAS-aligned processes and drive automation initiatives through RPA and AI.

This role offers exposure to banking regulations and governance frameworks, plus opportunities to collaborate with senior stakeholders in a leading financial institution.

Qualifications

• Degree holder with 3+ years in sales compliance in banking.
• Knowledge of investment product sales regulations (MAS, FIA Act).
• Strong analytical and communication abilities.

Responsibilities

• Perform checks under MAS BSC framework.
• Monitor BSC results and drive remediation.
• Conduct BSC training for new hires and supervise audit checks.
• Review customer complaints related to investment sales.
• Ensure audit processes align with regulatory developments.
• Support workflow automation via RPA, system updates, and AI.

Skills

Regulatory knowledge

Analytical skills

Communication skills

Education

Bachelor's degree in relevant field

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Programming basics

Job description

Location: Raffles Place, will re-locate to Punggol in 2027
Contract Duration: 1 Year

Job Summary

Join a high-performing governance and compliance team responsible for ensuring fair dealing standards and regulatory compliance across investment sales activities. This role offers the opportunity to work closely with business, compliance, and regulatory frameworks while driving process improvements through automation and AI.

Key Selling Points

• Exposure to banking regulations, compliance, and governance frameworks
• Opportunity to drive automation initiatives using RPA and AI technologies
• Work with senior stakeholders in a leading financial institution

Key Responsibilities

• Perform checks under the MAS Balanced Scorecard (BSC) Framework, including client surveys, document reviews, mystery shopping, and complaint assessments
• Monitor BSC results, identify root causes of lapses, and drive remediation efforts
• Conduct BSC training for new hires and guide supervisors on audit checks and complaint investigations
• Provide independent reviews of customer complaints relating to investment sales
• Ensure audit processes remain aligned with regulatory developments and internal policies
• Support workflow automation through RPA, system enhancements, and AI-driven solutions

Requirements

• Degree holder with a minimum of 3 years' sales compliance experience within the banking industry
• Good knowledge of regulations governing investment product sales to retail customers (e.g. Financial Advisers Act, MAS Fair Dealing Guidelines)
• Strong analytical skills and attention to detail
• Proficient in Microsoft Excel, Word, and PowerPoint; programming skills are advantageous
• Strong interpersonal, written, and verbal communication skills

Elitez Pte Ltd | EA Licence: 16C8004| Jolene Ng | Registration No: R23115950