Executive, Compliance

1-3 Years

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Job Description

Key Responsibilities

JOB DESCRIPTION

Execute Post-Sale Surveys: Conduct telephone or digital surveys with clients to verify their understanding of product features, fees, and risks.
Audit Advisory Processes: Verify that financial advisers followed mandatory regulatory steps, performed accurate suitability assessments, and disclosed all material conflicts of interest.
Identify Misselling Risks: Detect potential instances of misselling, aggressive sales tactics, or inadequate fact-finding during the client consultation phase.
Document Audit Findings: Maintain detailed logs of client feedback
Escalate Critical Breaches: Report serious advisory gaps, misrepresentations, or policy violations immediately to for further review or investigation.
Provide Feedback Loops: Collaborate with relevant stakeholders to share survey insights that improve training programs and sales guidelines.

REQUIREMENTS:

At least a Bachelor's degree or above.
Any professional qualification will be an added advantage.
At least 1 year of experience in customer handling, preferably having experienced in conducting client surveys.
Must be proficient in MS Office and applications.

OTHER COMPETENCIES & TRAITS: