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Responsible for conducting surveillance monitoring reviews to support the Investments and Insurance business. Review work includes Data analysis, report reviews, review of documents / Voice logs, and conducting call outs to customers. Job role is an integral part of the support function that validates compliance to approved sales process by the branch Sales staff.
Report and document of review findings, corrective actions tracking and follow-up actions
Prepare trend analysis and surveillance reports for management reporting.
Provide feedback and coaching on correct phone sales process to Sales Representatives
Provide feedback and coaching on surveillance process and methodology to surveillance analyst in KL HU
Provide consultations to other internal departments on sales process and branch operational matters
Report and document the Quality of Work report of Sales Representatives.
Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, through automation, leveraging on internal system (INVICTUS) capabilities and to address process/ compliance gaps
Conduct quarterly self-assessment on Branch Sales and Customer Service processes
Review and update of policies and department procedures
Implementation of processes and procedures on compliance matters
Training to Sales Representatives on new compliance procedure and processes
As a Sales Compliance Officer, you are responsible for data analysis, report reviews, review of documents / Voice logs, and conducting call outs to customers as part of compliance support to approved sales process. You need to report and document review findings, track corrective actions and do follow-ups. You will provide feedback and coaching on correct phone sales process to Sales Representatives, and report and document the Quality of Work report of these representatives. At the same time, you will provide consultations to other internal departments on Investment Sales process and branch operational matters. In addition, you shall continuously seek process improvement to enhance efficiency of the call monitoring process. Reviewing of policies and procedures and identifying compliance gaps will also be under your charge, followed by training sales representatives on sales compliance related procedures.
This position is suitable for you if you possess at least 2 years of banking experience in consumer banking products and processes and have a good understanding of local sales advisory regulations. Having prior experience in a customer service, sales or compliance is an added advantage. Candidates should have strong verbal and written communication skills and analytical skills, as well as the ability to work independently.
At least 2 years of banking experience in consumer banking products and processes
Prior experience in a customer service, Investment/ Insurance Sales and /or compliance would be an advantage
Good understanding of local sales advisory regulations
Strong verbal and written communication skills.
Detailed and meticulous
Analytical with good investigation skills
Ability to work independently as well as in a team
Team player who is result driven with strong execution skills