Executive, Compliance

• Execute Post-Sale Surveys: Conduct telephone or digital surveys with clients to verify their understanding of product features, fees, and risks.
• Audit Advisory Processes: Verify that financial advisers followed mandatory regulatory steps, performed accurate suitability assessments, and disclosed all material conflicts of interest.
• Identify Misselling Risks: Detect potential instances of misselling, aggressive sales tactics, or inadequate fact-finding during the client consultation phase.
• Document Audit Findings: Maintain detailed logs of client feedback
• Escalate Critical Breaches: Report serious advisory gaps, misrepresentations, or policy violations immediately to for further review or investigation.
• Provide Feedback Loops: Collaborate with relevant stakeholders to share survey insights that improve training programs and sales guidelines.

REQUIREMENTS:

• At least a Bachelor's degree or above.
• Any professional qualification will be an added advantage.
• At least 1 year of experience in customer handling, preferably having experienced in conducting client surveys.
• Must be proficient in MS Office and applications.

OTHER COMPETENCIES & TRAITS:

• Possess excellent communication skills
• Has a strong analytical mind with good problem-solving skills.
• Has a self-motivated personality and is able to work well in a team.
• Resourceful and adaptable to changes.