Business Governance, Specialist
Core
Monitor high-risk bank sales staff and sales misconduct in the Partnership Distribution channel to uphold business governance and minimize financial crime risks.
Role type
Business Governance Specialist (First Line of Defense)
Builds
Business Quality and Governance (BQG) framework, risk detection systems, and compliance processes for the Partnership Distribution channel.
Domain
Insurance / Banking / Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Data analytics, complaint management, regulatory compliance knowledge, stakeholder communication, report compilation, process improvement, audit support, SOP maintenance, training material enhancement.
Preferred skills
Life insurance product knowledge, sales compliance experience, distribution channel expertise, BNM/LIAM regulatory familiarity.
Technologies
Microsoft Word, Excel, PowerPoint, Case360, CPP portal.
Responsibilities
Assess and report abnormal trends in customer fact finds and welcome calls; compile monthly complaint statistics; monitor and investigate high-risk sales staff behavior; conduct awareness sessions on new compliance requirements; ensure SOPs are up-to-date; follow up on escalated sales disputes and close cases within 21 working days; support internal and external audits; assist in mystery shopping exercises.
Seniority
Mid-level, hands-on IC