Executive, Compliance
On-siteSingapore, Singapore
Job Summary
Execute post-sale surveys with clients to verify understanding of product features, fees, and risks. Audit advisory processes by checking that financial advisers followed mandatory regulatory steps and disclosed material conflicts of interest. Identify misselling risks and aggressive sales tactics during client consultations, then document findings and escalate critical breaches for review. Provide feedback loops to stakeholders to improve training programs and sales guidelines. Requires a Bachelor's degree, one year of customer handling experience, and MS Office proficiency. Excellent communication and analytical skills are essential.
Required Qualifications
- At least a Bachelor's degree or above
- At least 1 year of experience in customer handling
- proficient in MS Office and applications
- Possess excellent communication skills
- Has a strong analytical mind with good problem-solving skills
- Has a self-motivated personality and is able to work well in a team
- Resourceful and adaptable to changes
Desired Qualifications
- Any professional qualification
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