Key Responsibilities:

• Perform Financial Advisory Assurance Review and Testing for Wealth and Deposit Product to ensure that the overall sales processes and operations are in compliance with key applicable regulatory and internal policy requirements.
• Identify control process gaps through results of investment and insurance review and testing then escalate to supervisor, Product or Process Owner to investigate and provide actions (if any).
• Work closely with Sales & Distribution and Channel & Digitalization in advisory on detective/preventive control design and corrective action according to error identified through investment and insurance review and testing.
• Prepare trend analysis and presentation according to Financial Advisory Assurance Review & Testing monthly results for management reporting.
• Implement policy and process changes related to Financial Advisory Assurance Framework as well as key controls implementation required by regulatory, business or internal bank policy.
• Report and document the Quality of Work / Exception / Observation report of Sales Representatives
• Continuously seek process improvement to enhance efficiency of the Financial Advisory Assurance Review & Testing and to address process/ compliance gaps
• Review and update of policies and unit procedures
• Monitor work progression ensuring completion of assignments by requested due date

Qualifications:

• At least 4 to 6 years of relevant experience
• Demonstrated organizational and follow-up skills; ability to multi-task and maintain composure in a high-volume environment
• Strong communication and interpersonal skills and willing to facilitate, collaborate and build effective working relationships with stakeholders from various functions.
• Excellent critical and analytical skills – the ability to correctly interpret underlying information/data, assess and summarise its impact on risk and regulatory compliance.
• Proficient in Microsoft Office and excellent presentation skill to relevant parties and senior management level.
• Ability to work under pressure and manage deadlines or unexpected changes in expectations or requirements
• Self-motivated and details oriented
• Prior experience in sales or compliance would be an advantage

Education:

• Education level: Bachelor’s degree or equivalent
• Preferred: Excellent domain knowledge in retail banking Investment and Insurance products