Opportunity Description
- Conduct full scope of work required under BSC: fact-find and recommendation review, client surveys, mystery shopping and prepare quarterly regulatory submissions
- Conduct market conduct training for representatives
- Conduct full scope of work required for Replacement of Policies: Filter cases that falls within the ROP rules, review switching cases, prepare appeal and ensure commission clawback (if any) is successfully administered
- Investigate complaints and allegations of misconduct, prepare reports on investigated cases with sound analysis and conclusion
- Perform thematic sales compliance reviews
- Render advice to the business on requirements under the Financial Advisers Act (FAA) and FAA-related regulations and guidelines
- Review training, sales, product and marketing collateral to ensure compliance with regulatory and industry requirements
- Timely completion of BSC reviews and report each quarter
- Timely comple...
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