Deskripsi Pekerjaan
Are you a detail-oriented professional with a passion for financial integrity? Prudential Group is seeking a dedicated Sales Surveillance Officer to join our team on a 2-year contract. In this critical role, you will play a pivotal part in upholding our commitment to ethical sales practices and regulatory compliance within the financial services sector.
As part of the Compliance and Conduct Risk team, you will assist the Lead in administering our comprehensive Conduct Risk framework and Balanced Scorecard initiatives. You will be instrumental in maintaining the highest standards of sales advisory excellence, ensuring that our products and services are presented with transparency and in full alignment with internal policies and MAS regulatory requirements.
If you thrive in a collaborative environment and possess a keen eye for procedural accuracy, this is an excellent opportunity to enhance your career with a global leader in insurance and financial services. We provide a structured environment where your contributions directly influence the quality of our customer interactions and long-term business integrity.
Tanggung Jawab
- Support the Lead in the daily administration of the Conduct Risk and Balanced Scorecard (BSC) frameworks.
- Perform regular surveillance and monitoring of sales activities to ensure adherence to company advisory standards.
- Review and analyze sales documentation for potential red flags, inaccuracies, or non-compliance.
- Assist in the production of monthly and quarterly management reports regarding sales surveillance outcomes.
- Conduct thorough investigations into identified anomalies and provide detailed findings to senior management.
- Collaborate with cross-functional departments to refine sales processes and improve compliance training materials.
- Stay updated on regulatory changes in the financial services sector and contribute to policy updates accordingly.
- Facilitate the smooth execution of audits by maintaining organized and accurate audit trails.
Kualifikasi
- Bachelor’s Degree in Finance, Business, Law, or a related discipline.
- Minimum 2 years of experience in sales surveillance, audit, compliance, or risk management within the financial services industry.
- In-depth knowledge of MAS regulatory requirements and financial advisory guidelines.
- Strong analytical mindset with the ability to interpret complex data and identify trends.
- Excellent communication skills with the ability to articulate compliance requirements clearly to stakeholders.
- High proficiency in Microsoft Excel and data management software.
- Highly organized, with a meticulous attention to detail and ability to handle confidential information.
- Proven ability to manage multiple priorities within a fast-paced environment.