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Compliance Lead - Sales Governance

Job Title: Compliance Lead - Sales Governance
Contract Type: Permanent
Location: Singapore, Singapore
Industry: Corporate Governance
Salary: Negotiable
Reference: JN -012019-228442
Contact Name: Janice Chee
Contact Email: jchee@argyllscott.sg
Job Published: January 09, 2019 10:02

Job description

Description

  • Develop and implement effective Sales Compliance Framework and ensure that reviews are conducted in order to detect fraud, churning and unethical agent's misconduct so as to reduce any reputational, legal and financial risk.
  • Compliance reviews includes fraud detection, mis-selling, health shield review, policy replacement review, market conduct and other related compliance issues.
  • Develop and implement an effective Investigation Framework and conduct investigation of complaints and potential misconduct of financial advisors in order to mitigate regulatory, market conduct and compliance risks.
  • Take on special projects assigned by HOD, including escalation of compliance and regulatory issues, process improvement projects, revision of SOPs and system enhancement projects within the stipulated time line.
  • Develop and coach junior team members to enhance their technical competency and personal effectiveness to deliver quality and timely results

Requirement

  • Bachelor Degree from reputable universities; compliance/AML certifications are a plus.
  • Minimum 5-7 years of working experience in Compliance position with investigations experience relevant to the insurance / financial sector.
  • Good understanding of insurance sales processes
  • Able to interact effectively across different business stakeholders and compliance functions. Good communication skills
  • Committed and conscientious personality. Takes ownership and responsibility to drive projects and bring it through to fruition
  • Self-Driven, IT Savvy

For further information, please contact Janice at 6597 5174/9234 5257 or email to jchee@argyllscott.sg

EA Registration Number: R1871479
Argyll Scott Singapore Pte Ltd. EA Licence Number: 16S8105