About the role
FinEx AI summary
Investigate suspected non-compliance cases related to agency, deliver compliance training, and update compliance policies and procedures. Prepare compliance reports, conduct thematic/field reviews and control testing of sales practices, identify conduct risks, and handle ad hoc projects. Requires 8-10 years' experience, preferably in training, financial planning, or insurance.
Core skills
compliance investigationscompliance trainingcompliance policy developmentregulatory reportingthematic reviewscontrol testing