Executive, Compliance

Key Responsibilities

Conduct telephone or digital surveys with clients to verify their understanding of product features, fees, and risks. Audit Advisory Processes : Verify that financial advisers followed mandatory regulatory steps, performed accurate suitability assessments, and disclosed all material conflicts of interest. Identify Misselling Risks : Detect potential instances of misselling, aggressive sales tactics, or inadequate fact-finding during the client consultation phase.

Document Audit Findings : Maintain detailed logs of client feedback Escalate Critical Breaches : Report serious advisory gaps, misrepresentations, or policy violations immediately to for further review or investigation. Provide Feedback Loops : Collaborate with relevant stakeholders to share survey insights that improve training programs and sales guidelines.

REQUIREMENTS

At least a Bachelor's degree or above. Any professional qualification will be an added advantage. At least 1 year of experience in customer handling, preferably having experienced in conducting client surveys. Must be proficient in MS Office and applications. OTHER COMPETENCIES & TRAITS: Possess excellent communication skills Has a strong analytical mind with good problem-solving skills.

Has a self-motivated personality and is able to work well in a team. Resourceful and adaptable to changes.