Sales & Conduct Surveillance Officer

3 days ago

Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED Full time

**Job Description**:
**Job Profile Summary**:
You are also required to perform investigation of any sales conduct related complaints or allegations.

Balanced Scorecard (BSC) Framework
- Administer the MAS Balanced Scorecard (BSC) framework.
- Conducting checks required under the BSC framework, including documentation review of sales documents, client surveys and BSC validation of misconduct and mystery shopping cases.
- Meet the requirements of the regulatory Balanced Scorecard (BSC) Framework through the delivery of pre and post-transaction sales quality at organizational level.
- Investigate any sales conduct related complaints or allegations in a fair, independent and prompt manner.
- Mete out the prescribed sanction(s) in accordance of the internal policy for any breaches of sales conduct by the distribution channels.
- Be competent and conversant with the relevant contents and requirements of applicable regulations, industry standards, Regional Compliance Standards and PACS’ business rules.

Replacement of Policy (ROP)
- Executing the end-to-end ROP appeal assessment
- Assessing ROP appeals and approver for their assessment.
- Managing agency distribution and clients’ call-backs.

Fitness and Propriety Assessment
- Provide support and advice to business on matters relating to ongoing due diligence of existing representatives.

Others:
Undertake ad-hoc tasks, projects or reviews as directed by Lead, Sales & Conduct Surveillance/Head of Sales Surveillance/Head of Distribution Business Partner.

**Who we are looking for**:
Competencies & Personal Traits
- Self-motivated and driven.
- Analytical and attentive to details.
- Basic understanding of the insurance industry and operations.
- Basic knowledge of regulations and industry guidelines applicable to the insurance/financial industry such as Insurance Act, Financial Advisers Act (FAA) and its subsidiary regulations, Monetary Authority of Singapore (MAS) regulations, Central Provident Fund (CPF) Board regulations, Life Insurance Association (LIA) guidelines.

**Working Experience**:

- At least 3-5 years of experience in a compliance role in a financial institution or similar.
- Preferably with experience in dealing with Distribution functions.

**Professional Qualifications**:

- Preferably with Insurance-related certifications (e.g. FLMI (LOMA), CMFAS Module 5, 9, 9A & Health Insurance).

**Education**:

- Degree, preferably in Business, Insurance or Finance related fields.

**Language**:

- Strong command of the English language.

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