Senior Distribution Compliance Surveillance Officer

We are looking for a passionate and inquisitive individual to join our team. This individual will perform agency evaluations to analyse trends identify and address potential gaps. He/she will consistently review the areas for improvement and implement enhanced framework suitable for the business.

• Provide support for day-to-day operations by assisting with the team’s functions. Adhoc training for representatives in the sales advisory process and point-of-sales system
• Assist in monitoring competency standards required of supervisors and representatives to ensure alignment with regulatory and industry guidelines
• Ensure timely reviews and follow up with representatives on cases triggered by Company approved monitoring system, and information via other sources reported to the department
• Assist in developing and implementing communication plans on competency standards
• Engage and coach representatives and supervisors in areas of sales activity, quality of sales / sales management, and training needs as and when required
• Perform trend analysis to detect potential sales advisory and market conduct risks. Updating of SOPs and internal guidelines when required
• Address all queries and concerns from various internal and external stakeholders
• Assist in the execution of special projects / initiatives and perform other work as required to meet business needs
• Highlights any potential concerns /risks and proactively shares best risk management practice

• Degree holder and above in related discipline (Banking/ Business/ Finances/ Accounting) preferred
• At least 2 - 3 years of experience in Financial Services or insurance industry would be an added advantage
• CMFAS qualification (M5, M9, M9A and HI) would be an advantage
• Proficient in MS Office (Excel, Word, Outlook and PowerPoint). Good knowledge of data mining and data analysis (e.g. data extraction, data cleansing, trend analysis, pattern detection, and dashboard reporting) would be an added advantage.
• Strong interpersonal and communication (verbal and written) skills. Able to influence and manage a wide range of stakeholders. Comfortable to handle difficult situations and conversations.
• Meticulous, professional, able to work well independently and as part of a team. Positive attitude, driven, motivated, and proactive in supporting the team.
• Strong analytical skills and demonstrate ability to make sound judgements.
• High level of integrity, takes accountability of work and good attitude over teamwork.
• Takes initiative to improve current state of things and adaptable to embrace new changes.