SkillSet: broking, market, mlm, sales, sales executive.
Conduct sales process assurance reviews of the offices in Partnership Distribution and Group Channel.
Identify the gaps in internal & regulatory compliance implementation and process controls
Coordinate with Biz Partner Management for closure of agreed improvement Action Plan.
Monitor and certify the completion of improvement action plan
Design and implement Sales Process Reviews across CAT, Group and Banc assurance channels.
Arrange Market Conduct & Compliance Training Sessions in New Employee Orientation across Non-Axis Channels.
Assist Management in ensuring enhancement of control and Compliance in Partnership Distribution Channels.
Support management in business partner engagement and enablement for ensuring sales compliance.
Conduct Due-diligence Audits of upcoming new Corporate Agents before sign up.
Support Management in enhancing awareness of Sales Personnel on ethical sales practices
Conducting the appropriate training sessions for sales executives on regulatory and compliance issues.
Liaise with management for timely completion of periodic Compliance Certificates and the closure of identified gaps.
Assist Management in enabling implementation of effective and robust Consequence Management on sales improprieties in Non Agency Distribution Channels. a. Ensure all cases of suspected Sales Malpractices are highlighted to Business Partners with the agreed timelines.
b. Wherever Process depletion found, ensure corrective and preventive actions are initiated as per the agreed process.
Performing follow up review ensuring appropriate implementation of improvement action plans identified in various audits.
Assist in developing and implementing compliance checklist for Distribution Management.
Desired Candidate Profile
Bachelors degree in any discipline Overall 10 Years of Experience with more than 5 years in Audit, Risk Management, Process Quality, Compliance monitoring preferably in Finance industry. Exposure to sales through MLM/ Financial Service Distribution/ / Brokers will be preferred.