- Permanent, Full time
- OCBC Bank
AVP FAA Independent Sales Audit – Team Member
AVP FAA Independent Sales Audit – Team MemberAVP FAA Independent Sales Audit - Team Member
What you'll do
1. Good knowledge of the regulations governing sale of investment products to retail customers (egs Financial Advisory Act, Securities and Futures Act, MAS Fair Dealing Guidelines).
2. Work with the key stakeholders to ensure the sales staff in the Consumer Financial Services meet the regulatory requirements.
3. Be part of the Independent Sales Audit unit within the team to fulfil the requirements under the MAS' Balanced Scorecard Framework.
4. Conduct training to new and existing sales staff on regulatory and operational requirements relating to sale of investment products.
5. Provide independent review of customer complaints relating to investment products.
What you bring
1. Good knowledge of regulatory requirements on fair dealing, and advisory and sales process.
2. Minimum of 3 years of working experience in banking and finance.
3. Good interpersonal skills.
4. Good written, oral communication skills and ability to interact with people at different levels.
5. Strong Microsoft skills especially in Excel.