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Conduct regular post transaction reviews to ensure that financial representatives meet the stipulated competence and compliance standard (i.e. Financial Advisory Act, Securities and Futures Act, MAS Fair Dealing Guidelines, MAS Balanced Scorecard Framework);
Perform client surveys through call backs, mailers, or other appropriate mediums;
Administer mystery shopping exercises, review and assess findings to identify common trends of infraction relating to the regulatory requirements or industry guidelines;
Perform independent investigation and review on substantiated complaints lodged against the financial representatives;
Deliver training and communication sessions pertaining to Balanced Scorecard Framework and other matters to bridge any competency gaps identified;
Participate in key project initiatives.
Degree with at least 2 years of relevant experience in Sales Advisory/ Compliance/ Training & Competency in the financial services industry preferred;
Good knowledge of regulatory requirements on fair dealing, and advisory and sales process;
Team player with strong interpersonal, written and communication skills;
Good presentation and analytical skills with an eye for detail.;
Strong Microsoft skills especially in Excel (e.g. VBA, Pivot).
Internal Number: 6358203
About Maybank Singapore
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