Job Description
Job Purpose
Be part of the Group Market Conduct family which strives to safeguard the reputation of the company, through oversight on distribution representatives market conduct activities and ensuring enforcement actions taken are fair and appropriate. This position is for a role that sits within the Sales Compliance section with primary functions that consist of market conduct governance, executing the compliance monitoring program, and conduct sales assurance audits that includes Balanced Scorecard program.
The Job
Working as a team to execute responsibilities across the entire Group Sales Compliance section, which includes regulatory Balanced Scorecard reviews and reviews of findings from mystery shopping exercises
Takes ownership in handling or escalating queries from stakeholders (including financial representatives and members of the Regional Agency, FA & Bancassurance department)
Involvement in ad hoc assignments/reviews (e.g. post-transaction reviews) and supporting the team in other areas as required
Performing relevant User Acceptance Testing (UAT) associated with new product releases
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.
