1 Year Sales Compliance Analyst (Retail Banking) | Raffles Place/Punggol | Up to $4500 #NKA

Location: Raffles Place (Moving to Punggol District in April/

Duration: 1 year contract

Working Hours: Mon - Fri, 9 - 6

Salary: Up to $4500

Job Responsibilities:

• Review sales activities and documentation to ensure compliance with MAS requirements and internal guidelines.
• Assess customer feedback, sales records and investment-related complaints for potential conduct or advisory issues.
• Analyse compliance findings and work with relevant teams to address recurring gaps.
• Support and educate staff on sales compliance requirements and review procedures.
• Stay updated on regulatory changes affecting investment product sales and customer advisory.
• Improve compliance review processes through RPA, automation and AI tools.

Job Requirements:

• Good level of knowledge of the regulations governing the sale of investment products to retail customers (egs. Financial Advisory Act, MAS Guidelines on Fair Dealing).

Ally (Kubota Ayako)
CEI Reg. No. R26161457
EA Lic: 99C4599
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