Job Description

Established and rapidly growing FA Company seeks an Independent Sales Auditor to perform sales audit function in accordance to Balanced Scorecard (BSC) guidelines stipulated by MAS.


This is a role requiring experience in Compliance in a Financial Institution, preferably a Licensed Financial Adviser. Previous experience as a Financial Adviser Representative is considered an advantage.


Attractive package commensurate with experience and qualifications.


Key Responsibilities:


Perform checks and fulfil all relevant requirements under the MAS Balanced Scorecard Framework (such as client surveys, document checks, mystery shopping) for sales representatives. Monitor the BSC results, identify root causes of significant lapses and common errors, and pursue remediation. Conduct training on vulnerable client safeguards and BSC Framework for new hires, and guide new supervisors on BSC checks. Any other related tasks assigned by Senior Management.
Qualifications :


Minimum academic qualification of a Degree or equivalent.


Relevant qualifications with at least three (3) year relevant working experience preferred.


Able to handle documentation work with an eye for details and strong analytical skills.


Familiar with regulations governing the sale of investment products (e.g. Financial Advisers Act and Regulations, MAS notices and guidelines on Fair Dealing, etc.).


Has initiative to carry out independent work as well as a team.


Excellent communication and organizational ability.


Must be meticulous and strong in administration.


Persistent, resilient and tolerant of stress in the face of obstacles.


Able to stand firm and defend position in terms of good governance.


High regard for ethics and integrity in discharging all functions.


Able to multi-task competing priorities whilst maintaining a high degree of accuracy and attention to details.