The Business Risk Intermediate Analyst is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. Integrates in-depth specialty area knowledge with a solid understanding of industry standards and practices. Good understanding of how the team and area integrate with others in accomplishing the objectives of the subfunction/ job family. Applies analytical thinking and knowledge of data analysis tools and methodologies. Requires attention to detail when making judgments and recommendations based on the analysis of factual information. Typically deals with variable issues with potentially broader business impact. Applies professional judgment when interpreting data and results. Breaks down information in a systematic and communicable manner. Developed communication and diplomacy skills are required in order to exchange potentially complex/sensitive information. Moderate but direct impact through close contact with the businesses' core activities. Quality and timeliness of service provided will affect the effectiveness of own team and other closely related teams.

Responsibilities

• Provide oversight of the Sales Surveillance, Sales Practice, and conduct risk & control framework across Consumer Businesses (1st Line of Defense)
• Coordinate and work with the relevant teams to investigate conduct risk related cases & sales practice complaints, for substantiated cases, work with businesses to conduct root cause analysis and liaise with business and line control officers on any deficiencies or control gaps as well as ensuring appropriate remedial actions are in place where deficiencies are identified.
• Coordinate and oversee the sales practice complaints. Report to senior management in the Sales Complaint Review Forum to review and decide on resolutions to customers in accordance with regulatory requirements
• Perform data analysis and prepare MIS to report conduct risk issues at various governance meetings
• Conduct trend analysis and prepare materials/ lesson learnt to communicate to various Consumer teams in relevant forums to improve staff awareness of conduct risks
• Coordinate and prepare materials for governance meetings and regional reporting
• Manage the End-to-End Mystery Shopping Program including vendor management, program design, reporting and corrective action.
• Support the Sales Surveillance, Sales Practice and Conduct Management Lead on the roll out of new guidelines or global initiatives.

Qualifications:

• 2-5 years relevant experience in risk, compliance, audit or regulatory functions.
• Experience in working with the various risk and control systems and reporting requirements
• Project management skills. Excellent organizational skills, ability to prioritize and adapt to change.
• Problem solver with the ability to translate plans in actions
• Consistently demonstrates clear and concise written and verbal communication skills
• Proficient in Microsoft Office with an emphasis on MS Excel
• Self-motivated and detail oriented
• Knowledge in retail investment and insurance product is preferable

Education:

• Bachelor’s/University degree or equivalent experience

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