Senior Distribution Compliance Surveillance Officer

Brief Summary

Join a dynamic team dedicated to enhancing operational efficiency and ensuring regulatory compliance. This role offers an opportunity to engage in trend analysis and improve business frameworks within the financial services industry.

Responsibilities

• Conduct agency evaluations to analyze trends and identify potential gaps. Review areas for improvement and implement enhanced frameworks tailored for the business. Assist with day-to-day operations and support the team's functions. Facilitate training for team members on sales advisory processes and point-of-sales systems. Monitor competency standards for supervisors and representatives to ensure compliance with industry guidelines. Conduct timely reviews and follow-ups on cases flagged by the approved monitoring system and other sources. Assist in the development and implementation of communication plans regarding competency standards. Engage and coach representatives and supervisors regarding sales activities, quality management, and training needs. Perform trend analysis to identify potential risks in sales advisory and market conduct. Update standard operating procedures (SOPs) and internal guidelines as necessary. Address inquiries and concerns from various internal and external stakeholders. Participate in special projects and initiatives to meet business needs. Identify and highlight potential risks, sharing best practices for risk management.

Requirements

• Bachelor's degree or higher in a relevant field (e.g., Banking, Business, Finance, Accounting). Minimum of 2-3 years of experience in the financial services or insurance industry. CMFAS qualifications (M5, M9, M9A, and HI) are advantageous. Proficient in MS Office applications (Excel, Word, Outlook, and PowerPoint). Familiarity with data mining and analysis techniques (e.g., data extraction, cleansing, trend analysis, pattern detection, dashboard reporting) is a plus. Strong interpersonal and verbal/written communication skills. Ability to influence and manage diverse stakeholder groups. Capable of handling challenging situations and conversations. Detail-oriented, professional, and able to work independently as well as collaboratively. Positive attitude, self-driven, and proactive in team support. Strong analytical skills with the ability to make sound judgments. High integrity and accountability in work, with a strong commitment to teamwork and adaptability. Initiative to improve existing processes and willingness to embrace new changes.