SVP, Financial Advisory Conduct

Responsibilities:

• Support Retail Business in instilling Fair Dealing practices and end-to-end business governance across Retail business.

• Provide operational advisory to Retail Business Units, assist business units in operationalizing applicable regulatory requirements to manage risks and issues regarding financial advisory sales assurance.

• Keep abreast of regulatory developments regarding Financial Advisory Assurance, assess the impact on Retail business segments and provide timely, appropriate advice, interpretation and recommendations.

• Perform periodic Self-Assessment Review on the key activities via Review & Testing (R&T) and/or Mystery Shopping, etc., report and document Self-Assessment Review findings, recommend corrective actions, follow up and preparation of trend analysis for Retail Business.

• Provide training on key regulatory awareness related to sales assurance (working with Sales training team, where applicable).

• Participate in key initiatives and projects regarding Financial Advisory Assurance for Retail Business.

Qualifications:

• Minimum of 7-10 years of experience in a similar role within the financial services industry.

• Proven experience in business risk control management within the financial services industry.

• Strong analytical skills with the ability to interpret complex data and provide solutions.

• Excellent advisory skills with a focus on data integrity and abuse prevention.

• Leadership experience with a track record of managing teams and stakeholders effectively.

• Strong communication and interpersonal skills.

• Experience in the banking industry, with a deep understanding of retail banking products (both secured and unsecured).

• Experience dealing with both front-end and back-end positions.

• Legal experience, particularly in regulatory compliance and risk management within the financial services sector.

• Experience in developing and implementing risk policies.

• Proficiency in analytics and data interpretation.