Compliance Officer

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-transact...