Compliance Sales Audit Analyst (Banking)

Jobs Responsibilities

• Conduct independent checks and reviews in accordance with MAS Balanced Scorecard (BSC) Framework and internal compliance policies

• Perform client surveys, document reviews, mystery shopping assessments, and complaint reviews relating to investment sales activities

• Monitor audit findings and compliance results; identify gaps, recurring issues, and support remediation efforts

• Review customer complaints relating to investment and financial advisory products to ensure compliance with regulatory guidelines

• Support training and guidance for staff on BSC requirements, compliance checks, and internal procedures

• Keep abreast of MAS regulations, Financial Advisory Act requirements, and internal policy updates affecting retail investment sales

• Assist in process improvement initiatives, including automation and enhancement of audit and reporting workflows

• Prepare reports, findings, and analysis for internal stakeholders and management review

Application Procedures

Interested candidates, please email your resume to:

Attention: Lynn Mak Ling Ling (CEI No. R1986990)

***email_hidden***

Recruit Express Pte Ltd (EA No. 99C4599)

We regret that only shortlisted candidates will be notified.