Sales Risk and Internal Audit Lead

LMA RECRUITMENT SINGAPORE PTE. LTD.; Singapore; On-site; SGD 120,000 - 180,000; Full time

Job summary

LMA Recruitment Singapore is seeking an experienced Internal Audit professional to join a growing team in a newly created role, focusing on sales advisory, conduct and distribution-related risks.

The ideal candidate will come from insurance or Financial Advisory firms, with background in Internal Audit, Compliance or Business Risk, and be keen on advancing within Internal Audit. The role involves close collaboration with multiple stakeholders to strengthen controls across the business.

Qualifications

• Minimum 5 years of relevant experience in financial services (insurance or FA firm preferred).
• Strong exposure to sales advisory, conduct, distribution controls and regulatory compliance.
• Experience in Internal Audit, Compliance, Business Risk or Line 1.5 functions is welcomed.
• Exposure to BSC reviews, investigations or surveillance of sales advisory monitoring would be advantageous.
• Excellent stakeholder management, analytical and communication skills.

Responsibilities

• Plan and execute risk-based internal audits from scoping to reporting and remediation follow-up.
• Review control effectiveness around sales advisory processes and regulatory requirements.
• Conduct investigations, thematic reviews and BSC reviews relating to sales practices and advisory standards.
• Identify control gaps, root causes and emerging risks; recommend practical improvements.
• Partner with stakeholders across 1st and 2nd Lines of Defence to strengthen controls.
• Support major business and change initiatives from a risk and controls perspective.

Skills

Sales advisory

Sales conduct

Distribution controls

Regulatory compliance

Education

Degree in Accountancy, Finance or related

Job description

LMA Recruitment Singapore is seeking an experienced Internal Audit professional to join a growing team in a newly created role, focusing on sales advisory, conduct and distribution-related risks.

The ideal candidate will come from insurance or Financial Advisory firms, with background in Internal Audit, Compliance or Business Risk, and be keen on advancing within Internal Audit. The role involves close collaboration with multiple stakeholders to strengthen controls across the business.