1 Year Contract Compliance Sales Audit Analyst (Banking) #BLM

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) lynnmak@recruitexpress.com.sg Recruit Express Pte Ltd (EA No. 99C4599) We regret that only shortlisted candidates will be notified.