Senior Executive, Sales Assurance

About the role

This role supports the Balanced Scorecard (BSC) Framework relating to determining and validating review populations for BSC and relevant system enhancement relating to BSC system. The position involves preparing management information, analyses, and documentation to support management reporting, governance forums, regulatory submissions, and ad hoc information requests.

Key responsibilities

• Support the Balanced Scorecard (BSC) Framework relating to determining and validating review populations for BSC and relevant system enhancement relating to BSC system
• Prepare management information, analyses, and documentation to support management reporting, governance forums, regulatory submissions, and ad hoc information requests
• Collaborate with business, technology, and data stakeholders to develop, enhance, and maintain analytics models used to identify potential market misconduct, sales quality concerns, and emerging conduct risks
• Conduct reviews arising from market conduct surveillance activities
• Monitor, analyse, and report on review findings, identify emerging trends and risks, track remediation actions, and prepare periodic management reports
• Plan and execute an annual programme of market conduct reviews, ensuring timely completion of reviews, reporting requirements, and follow-up activities
• Support regulatory inspections, audits, investigations, data requests, and special projects as assigned
• Undertake any other duties, projects, or assignments as directed by Team Lead/Section Head/Head of Compliance from time to time

Requirements

• Degree/Diploma in Business, Finance, Accounting, Information Systems, or a related discipline
• At least 2 years of experience in a compliance role in a financial institution or similar
• Understanding and experience in market conduct and/or sales advisory
• Experience supporting or managing business systems is an advantage
• Experience working with internal IT teams and/or external vendors to deliver system enhancements
• Strong analytical and reporting skills, with ability to interpret data and translate it into management insights
• Ability to translate business and regulatory requirements into functional and system specifications
• Strong written and verbal communication skills, including preparation of senior management and committee-level reports
• Basic knowledge of regulations and industry guidelines applicable to the insurance/financial industry