Main purpose of the role:
We are looking for a Compliance Market Surveillance Officer whose primary role is to review the sales and advisory process in accordance with the relevant regulations. The ideal candidate has to be comfortable to work with strict deadlines and ensure that reviews are completed within the stipulated timeline.
The job scope entails review of fact find documentations and conducting client surveys through phone calls or emails. The candidate will be required to identify and highlight any discrepancies uncovered during the reviews.
Responsibilities:
1. Conduct reviews of the sales and advisory processes to ensure compliance with relevant regulations and internal policies.
2. Perform data extractions and analysis.
3. Review fact-find documentation and ensure accuracy, completeness, and alignment with regulatory standards.
4. Perform client surveys through phone calls and emails to gather feedback and validate sales processes.
5. Identify and document discrepancies, inconsistencies, or non-compliance issues uncovered.
6. Prepare detailed reports summarizing review findings and provide actionable recommendations for improvement.
7. Work collaboratively within cross functions to address identified issues and implement corrective measures.
8. Ensure all reviews are completed within stipulated deadlines while maintaining high standards of quality.
9. Keep updated on relevant regulatory requirements and industry best practices to ensure audit procedures remain compliant.
10. Assist in the development and refinement of monitoring tools, checklists, and methodologies for enhanced efficiency.
Maintain confidentiality and integrity in handling sensitive information related to sales processes and client interactions.
Requirements:
· Degree or Diploma in any discipline
· Being ethical and work with integrity
· Prior experience with insurance will be an added advantage
· Effective time management and ability to meet deadlines
· Ability to work under pressure
· Good communications skills
· Collaborative and team-oriented mindset
· Proficient in Mandarin and English (speaking, reading, and writing) for daily work-related communication.
Qualifications:
· Experience in operational framework with proven experience of process execution
· Certifications in compliance or related fields are an advantage
· Strong understanding of regulatory requirements
职位类型：全职
薪资： RM3,500.00至RM5,000.00（每月 ）
Work Location: 现场办公