Our client in the financial sector is seeking an experienced compliance officer to assist in the safeguarding of the company’s reputation through an oversight on the distribution representative’s market conduct activities using advanced analytics.

Mandatory Skill(s)

  • At least 3 years of hands-on experience in Risk & Compliance;
  • Familiar with local regulations from MAS, especially in relations to market conduct;
  • Advance understanding of Tableau and hands-on experience working with various data-driven initiatives;
  • Strong communication skills to effectively communicate and manage stakeholders across functions;
  • Meticulous with report writing and confident in driving change within the organisation.

Desirable Skill(s)

  • Experience in the financial sector.

Responsibilities

  • Manage, enhance and execute the entire suite of sales compliance programs, including the monitoring of the balanced scorecards and functions;
  • Design and conduct regular quality assessment of the sales advisory practices through sales audits and analytical analysis;
  • Leverage on Tableau to develop consist risk-based sampling review methodology and work processes;
  • Document user specifications, data requirements and criteria checklists to prove the sales audit programs and processes;
  • Perform data analysis on policy details and transactions for compliance review and investigation;
  • Prepare comprehensive reports for management consumption, including presentations to senior management teams;
  • Ensure renewal and updating of SOP and Manuals;
  • Manage stakeholders from various functions and business units.
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