Market Conduct Compliance Specialist - Up to S$7k

TALENT EDGE RECRUITMENT LLP; Singapore; Vor Ort; SGD 60.000 - 90.000; Vollzeit

Zusammenfassung

TALENT EDGE RECRUITMENT LLP is seeking a compliance-focused Sales Quality Auditor in Singapore. The incumbent will administer the MAS Balanced Scorecard framework, review sales processes, and collaborate with internal and external stakeholders to raise advisory standards.

The role involves evaluating mystery shops, trend analysis, and ensuring adherence to regulatory quality controls across the sales lifecycle.

Qualifikationen

• At least 3 years of experience in sales audit / surveillance in the financial industry.

Aufgaben

• Administration of the MAS Balanced Scorecard (BSC) framework.
• Assist in setting sales advisory standards with internal and external stakeholders.
• Review sales documents, client surveys and BSC misconduct/mystery shopping validations.
• Meet regulatory BSC framework requirements by delivering pre- and post-transaction sales quality.
• Review Mystery Shop findings and classify infractions by materiality.
• Conduct trend analysis on MSE findings and implement corrective actions.
• Review customer call-backs to ensure adherence to requirements.
• Recommend actions for findings observed in call-backs.
• Facilitate appeals to ensure fairness and timeliness.

Kenntnisse

Sales audit

Surveillance

Regulatory knowledge

Jobbeschreibung

Job Description

• Administration of the MAS Balanced Scorecard (BSC) framework.
• Assist to set the sales advisory standards and collaborate with internal & external stakeholders to support and raise the standards of sales advisory in the Company.
• Conducting checks required under the BSC framework, including documentation review of sales documents, client surveys and BSC validation of misconduct and mystery shopping cases.
• Meet the requirements of the regulatory Balanced Scorecard (BSC) Framework through the delivery of pre and post-transaction sales quality at organizational level.
• Review Mystery Shop findings and classify infractions based on the materiality of findings
• Conduct trend analysis on MSE findings and implement appropriate measures /actions.
• Perform review of customer call-backs to ensure call-backs conducted by agency leaders are carried out in accordance to the requirements.
• Recommend appropriate actions for findings observed in the call-backs.
• Facilitation of appeals, ensuring appeals are handled in a fair, timely, and consistent manner.
• Monitor the completion of requirements (i.e. Joint Field Work, Coaching, training) by sales representatives.
• Support Team Lead inengagingAgency Force to increase awareness and knowledge on BSC and MSE as well as improve the quality of sales documentation.This includes having continued support to handle agency force queries and driving initiatives to improve business quality.
• Undertake ad-hoc tasks, projects or reviews as directed by Lead, Sales Review & Quality /Head of Sales Surveillance.

Requirements

• At least 3 years of experience in sales audit / surveillance in the financial industry.