Job Description

Singlife Financial Advisers is hiring an Executive to assist the Quality Advisory & Standards team in the organization and identify gaps, if any in the monitoring process and recommend appropriate measures to ensure professional standards are met.

Key Responsibilities

• The incumbent ensures proper procedures and robust measures are put in place to ensure SFA representatives adhere to regulatory and internal guidelines.

• The incumbent ensures that quality advice are provided to customers in accordance to Fair Dealings guideline and AFA Representatives adhere to good conduct practices.

• Identify, own and manage key risks and controls relevant to the role, including where you have been identified as the owner or nominee in iCARE. Maintain appropriate records and ensure that controls are well designed and operating effectively to keep the risks that they mitigate within Aviva\'s tolerance level. Report and escalate the status of the relevant risks and controls as appropriate.

• Ensure that representatives receive adequate training to fulfil their compliance obligations. Ensure that new regulatory requirements impacting the department/function are implemented, and an effective process is in place for regulatory consultations to be reviewed and analysed by subject matter experts. Undertake regular self-assessments of the effectiveness of controls using tools such as regulatory obligations mapping to confirm compliance. Ensure that potential control gaps, failures or breaches that could or have already resulted in a regulatory breach are escalated in accordance with issued guidelines.

• Provide guidance and ensure appropriate levels of financial advisory knowledge and experience within the team to support the delivery of Fair Dealing Outcomes.

• To establish a structured monitoring process to ensure the professional standard of supervisors and representatives and exercise effective oversight over their conduct of non-financial advisory activities.

• Ensure that businesses are operating consistently with relevant representative handbooks, and other operating directives e.g. sales manual and released from time to time.

• Ensure that representatives are conducting their businesses in compliance with the regulatory framework of Singapore

• Business & Financial Acumen

• Planning & Priority Setting

• Innovation

• Effective Relationships

• Communication

• Execution

• Customer Focus

• Risk Awareness

• Change Effectiveness

• Strategic Thinking & Planning

• Tertiary, diploma or equivalent qualification.

• Passed CMFAS M9, M9A, CHI, M5

Singlife