Requirements :
- Work with the sales team to review Balance Scorecard( BSC) findings and provide relevant support and guidance to ensure that BSC frameworks and guidelines are adhered to. Where required, represent the department in dispute resolution, e.g., Fidrec.
- Appointed Risk & Compliance rep for the dept. Collaborate with internal stakeholders to review existing sales-related processes and guidelines, i.e., the Business Conduct Handbook and the department’s standard operating procedures and workflows.
- Conducts annual review of the department’s Business Contingency Plan, Business Impact Assessment and Risk Control & Assessment (RCSA). Administer CRA and RCSA control testing.
- Facilitate reviewing and submitting the dept’s quarterly/annual Fraud Management report.
- Monitors and ensures follow-through of audit /MAS-related findings.
- Appointed master trainer on Risk and Compliance, Sales Conduct and Ethics for the department.
- Conducts monthly training for new advisors/managers and quarterly training for all advisors/managers.
- Monitors and ensures compliance with department CPD hours.
- Identify courses for adviser personal development and upgrading individual skillset related to risk management, compliance, etc.
Qualifications and Skills:
- Education: Degree in any discipline
- Experience: 5 years of experience in financial sales with at least 3 years of managerial experience.
- Technical Skills: Strong background in Risk assessment, Compliance & Regulatory framework. Ability to guide and train sales teams on compliance best practices.
- Soft Skills: Detail oriented, meticulous, analytical, excellent communication and reporting skills
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