Investigate and validate customer complaints in relation to investment and insurance sales to ensure adherence to the sales advisory process, FAA requirements, and Fair Dealing Guidelines.
Perform root-cause analysis on validated complaints to identify systemic issues or conduct gaps and provide actionable recommendations to business units and support functions to mitigate recurring risks.
Review and operationalise the Bank's Complaints Management Framework, providing advisory support to ensure compliance with relevant regulatory requirements and supervisory guidance.
Serve as an effective and trusted liaison for the Bank with regulators; coordinate responses to regulatory inquiries on market conduct and dispute resolutions.
Prepare management and governance reports detailing complaint trends and other conduct metrics.
Any other work assigned by the Bank.
REQUIREMENTS
General degree holder, preferably in Law or Business.
Minimum of 5-7 years of relevant Regulatory Compliance experience, with a focus on market conduct or complaints handling.
Working knowledge of FAA, SFA, BA and other local regulations applicable to full banks.
Good investigative skills with the ability to produce quality reports.
Organizational understanding and a strong team player capable of managing high-volume caseloads.
