Team Member - Market Conduct Compliance Team Member - Market Conduct Compliance …

OCBC Bank
in Singapore
Permanent, Full time
Be the first to apply
Competitive
OCBC Bank
in Singapore
Permanent, Full time
Be the first to apply
Competitive
OCBC Bank
Team Member - Market Conduct Compliance
Key Responsibilities
  1. Perform checks and fulfil all relevant requirements under the MAS Balanced Scorecard Framework for sales representatives and the Bank's policies and procedures.
  2. Monitor the BSC results, identify root causes of significant lapses and common errors, and pursue remediation.
  3. Conduct training on vulnerable safeguards and BSC Framework for new hires, and guide new supervisors on BSC checks and complaint investigation.
  4. Provide independent review of customer complaints relating to investment sales.
  5. Keep checks current with developments in the regulatory environment and the internal processes and systems.
  6. Automate independent sales audit workflow by leveraging on RPA, system automation and AI.


Qualifications
Educational and Work Experiences:
  • Degree with minimum of 3 years of sales compliance experience in the banking sector.
  • Good level of knowledge of the regulations governing the sale of investment products to retail customers (egs. Financial Advisory Act, MAS Guidelines on Fair Dealing).
  • Attention to detail and excellent analytical skills.
  • Great computer skills (egs. Microsoft Excel, Word, PowerPoint, programming skills)
  • Strong interpersonal, written and oral communication skills.
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