Senior Executive/Executive, Internal Sales Audit

Job Description

To independently conduct reviews and assessment for the financial advisory activities performed by Appointed Representatives (AR) under the FAA Balanced Scorecard (BSC) framework. The role assesses the quality, completeness and regulatory compliance of sales and advisory processes through tools and processes such as transaction reviews, client validation, client survey, mystery shopping etc. This function supports the business by strengthening governance oversight, promoting fair dealing standards and ensuring accurate grading and regulatory reporting of advisory activities.

Accountabilities

1) Independent Sales Audit Review

• Conduct regular sampling of advisory transactions.
• Perform post-transaction documentation reviews under the FAA Balanced Scorecard framework.
• Assess client survey outcomes and mystery shopping findings.
• Review and investigate substantiated complaints i...