Sales Surveillance Officer

4 days ago

Singapore Prudential plc Full time

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career ambitions. We pledge to make Prudential a place where you can Connect, Grow and Succeed.

The role of the Sales Surveillance Officer reports to Lead, Sales Surveillance. You are required to support the Lead of Sales Surveillance in administering the conduct risk framework and administering the Balanced Scorecard framework and sales advisory standards for the company.

You are also required to perform investigation of any sales conduct related complaints or allegations.

Balanced Scorecard (BSC) Framework
- Administration the MAS Balanced Scorecard (BSC) framework.
- Assist to set the sales advisory standards and collaborate with internal & external stakeholders to support and raise the standards of sales advisory in the Company.
- 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.

Investigations
- 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.

Others
- Undertake ad-hoc tasks, projects or reviews as directed by Lead of Sales Surveillance/Head of Sales Surveillance/Head 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 1-3 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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