Sales Compliance Officer

Understanding of the Wealth Management Documentation Checks, Call-back/Call Monitoring procedures & process.

Key Responsibilities

• Understanding of the Wealth Management Documentation Checks, Call-back/Call Monitoring procedures & process.

Business

• Perform Wealth Management Sales Documentation Checks, Call-back/Call Monitoring approval & review and escalation to relevant stakeholders on emerging risk.

Processes

• Perform Wealth Management Sales Documentation check as per stated in the Customer Assurance unit Operation Instruction (DOI).
• Perform Call-back/call monitoring as per stated in Call-back/Call Monitoring procedures/DOI.
• Ensuring accuracy recorded in SharePoint for Documentation Checks, Call-back/Call Monitoring.
• Perform call-back/ documentation check within TAT time.
• Escalate and keep track of any cases which require further clarification to relevan...