Job description

Job Description

Key Responsibilities:

• Execute post transaction sales surveillance reviews using data driven alerts and thematic risk scenarios.
• Assess sales transactions or behavior patterns for suitability, affordability, and alignment with clients’ investment objectives and profiles. Identify potential sales misconduct, control weaknesses, or emerging risk trends.
• Obtain and evaluate supporting documentation and evidence, and engage Sales Representatives, Supervisors, and Business Units to validate or challenge review outcomes. Assess cases against MAS FAA requirements and internal process / standards  
• Prepare investigation documentation and support escalation, disciplinary processes, and MAS misconduct reporting (FAA N14) where required.
• Present key findings, trends, and recommendations to business and sales management to drive remediation and accountability. 
• Contribute to continuous enhancement of surveillance parameters, methodology, and procedures.

Overall, the role requires candidate with:

• Prior experience (3 - 5 years) in Conduct Risk Control / Assurance / Compliance / Audit functions covering Retail / Wealth Advisory and Sales Processes.
• Strong and practical knowledge of MAS FAA regulations or guidelines, including FAA N16, G10, N03, N20 / G14, N14, and FSG G01.
• Good understanding of Retail Wealth products, such as investments, insurance, FX, bonds, and structured products.
• Strong risk and control mindset with sound judgment in assessing conduct and sales practices. 
• Curious, analytical, and able to independently challenge front line explanations.
• Good written and verbal communication skills, with the ability to engage and influence stakeholders.
   

Additional Requirements

Chinese (Mandarin), Develop (3 - Meets), Engage (3 - Meets), English, Execute (4 - Exceeds), Key Responsibilities:

Execute post‑transaction sales surveillance reviews using data‑driven alerts and thematic risk scenarios.

Assess sales transactions or behavior patterns for suitability, affordability, and alignment with clients’ investment objectives and profiles. Identify potential sales misconduct, control weaknesses, or emerging risk trends.

Obtain and evaluate supporting documentation and evidence, and engage Sales Representatives, Supervisors, and Business Units to validate or challenge review outcomes. Assess cases against MAS FAA requirements and internal process / standards  

Prepare investigation documentation and support escalation, disciplinary processes, and MAS misconduct reporting (FAA‑N14) where required.

Present key findings, trends, and recommendations to business and sales management to drive remediation and accountability.

Contribute to continuous enhancement of surveillance parameters, methodology, and procedures., Strategise (3 - Meets), University-Bachelor, Work Experience Level for GTO CWF