Business Assurance Unit Specialist
2 weeks ago
- Department
- SFA Business Assurance Unit (BAU)
- Job posted on
- Jan 31, 2023
- Employee Type
- Permanent
- Full Time
- Experience range Range (Years) 0
- N.A.We are hiring a Business Assurance Unit Specialist to perform PTC reviews with assessment criteria in the Risk Management & Compliance team in Singlife Financial Advisers (SFA)
Key Responsibilities
- Obtain daily sampling download from Operations (daily FNA/ EFP submissions)
- Identify incomplete FF and unsuitable/ incorrect products against client's needs, inadequate documentation and weak basis of advice.
- Reach out to affected Rep/ TL for client service rectifications.
- Ensure Rep respond with rectified cases within stipulated TAT.
- Escalate material breaches of advisory standards to team Lead and Head R&C.
- Conduct sampling call backs on selected PTC basis
- Communicate updates, learning lessons and changes in sales advisory practices and any ORAS adjustment with internal stakeholders
Requirements:
Experience
- Relevant professional qualifications or extensive experience in a key role.
- An in depth understanding of the risk and governance drivers of insurance/financial advisory industry
- Experience of working in a business going through continuous upgrading, change and growth.
- Understanding of market knowledge and regulations/legislation within industry, ideally for the insurance sector.
Education
- Degree/Diploma holder in any discipline, preferably with compliance and professional industry experience
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