Sales Governance Specialist SG

• Support business units within CBGS to improve and simplify sales processes to improve efficiency in conducting sales.
• Work closely with Sales Support Team and Wealth Management Operation (WMO) Team to ensure sales documents are duly completed and submitted for record keeping with WMO.
• Work closely with the Product Managers and other stakeholders to collate product-related information for both internal / regulatory reporting.

• Check and ensure all sales transactions on system are supported by valid FNA documents.
• Select sample cases and ensure up to three rounds of post-transaction audit for each representative every quarter based on the sampling methodology defined under the MAS' Balanced Scorecard (BSC) Framework.
• Conduct client surveys on every sampled transaction to fulfil the requirements under the BSC Framework.
• Prepare and submit sales documents for Compliance's review.
• Update SOP and sales governance guide to ensure its currency.
• Update FNA training slides and conduct training for all new sales representatives.
• Provide required system and process improvement support relating to sales processes.
• Perform Risk Control Self-Assessment for Consumer Banking Division in the area of financial advisory sales and ensure suitable controls are implemented to mitigate any identified risks.

• Handle sales representatives' queries.
• Provide advice to sales team and escalate issues immediately to the Team Lead when appropriate.

• Ensure all sales processes and procedures comply with internal and relevant regulatory requirements.
• Prepare periodic reports for computation of sales incentives, BSC reporting, and management reporting.
• Provide support on adhoc requests from regulators.

• Minimally, a Diploma holder

• Regulatory knowledge

• Preferably with relevant Independent Sales Audit or Compliance experience in the Financial Advisory Services industry

• Familiar with relevant Regulatory Acts and Notices eg FAA, MAS BSC Framework
• Strong analytical skill and eye for detail
• Familiar in Microsoft Office Applications esp. Excel, PowerPoint
• Good communication and interpersonal skills
• Independent, versatile and able to perform under pressure
• Knowledge of Consumer Banking business practices and procedures
• Problem solving ability

• Result-Driven
• Collaboration and Networking
• Versatility and Agility
• Learning and Enabling Others

CIMB