12 Months Market Conduct Compliance Analyst (Insurance)

To meet various regulatory expectations by conducting quarterly BSC reviews and carrying out internal investigations in respect of any market misconduct committed by representatives.

Responsibilities:

• Fulfil requirements under BSC framework such as BSC reviews, customer client call surveys and assignment of quarterly BSC grades to representatives and supervisors.
• Conduct investigations, when necessary, by interviewing with relevant parties, obtaining and assessing documentary evidence of alleged misconducts, providing outcomes of investigations and preparing investigation reports, documenting the investigator’s assessment and recommendations.
• Identify sales advisory gaps and monitor high-risk representatives/agencies through use of data analytics.
• Propose appropriate remedial actions to address sales advisory issues.
• Provide consult and support to stakeholders on BSC-related matters.
• Enhance and automate BSC processes for greater efficiencies.
• Performs other responsibilities and duties periodically assigned by supervisor to meet operational and/or other requirements

Requirements:

• Diploma and above
• Insurance sales advisory experience preferred
• Market conduct and/or Balanced Scorecard experience (optional)
• Certifications/licenses - RES 5, CMFAS M9, M9A and HI
• Good communication and presentation skills
• Good analytical skills
• IT/AI skills (optional)
• Knowledge of relevant FAA regulations and guidelines (optional)