Role : Sales Governance & Control Senior Officer
Location : Abu Dhabi
Role Purpose: To ensure required adherences to internal protocols, ethical standards and compliance standards to ensure right risks and controls and right practices are in place and executed by all assigned Sales channels within Retail Banking. The officer will monitor risk, assess functionality through regular monitoring, and implement controls to mitigate operational risks, identify areas of improvement, and maintain a strong culture of compliance and operational efficiency.
Risk Management, Control Testing & compliance monitoring:
1. Ensure sales channels follow controlled work streams with due compliance and standards.
2. Conduct monitoring of agencies involved in the sales activity – in terms of performance, practices and effectiveness.
3. Perform checks and validations to assess process adherence and sales practices to ensure right risk and control executions aligned to compliance standards.
4. Conduct periodic inspections and tracking of running processes and implementations to protect the overall sales environment and controls. Investigate and address any non-compliance or control weaknesses, recommending corrective actions where necessary
5. Design system frameworks of policies, and practices to result alignment to sales strategies, customer experience and regulation standards.
6. Monitoring key KRI and ensure scoring as per defined cycles.
7. Conduct risk and control assessments assigned under the defined cycles and management incident logs and related risk management system actions for the assigned sales units
8. Identify and work with business / stakeholders to close process and regulatory gaps protecting unit and overall organization from vulnerabilities.
9. Analyze business performance and trends in areas of first pass rates, business quality across sales channels to identify areas for improvement and suggest optimization of operational workflows.
10. Monitor lead management process from a fairness perspective and other challenges like duplication, mis-handling and unauthorized access to leads. Ad-hoc investigation of customer complaints and staff misconduct.
11. Create regular dashboards, process guidelines, circulations and related documentation to benefit as reference for sales channels and build awareness. Prepare detailed reports on operational control performance, compliance status, and any significant issues to management
12. Collaborate with other departments to design and implement effective business controls across Sales channels and associated units.
13. Support Sales units where required, in complying with GIA and 2nd LOD recommendations. Follow up on issues raised and recommendations made by GIA within assigned departments & monitor CAP target dates
14. Oversight and periodic independent conduct of sweep checks within Sales offices to ensure adherences to clean desk policies and data handling
15. Execute any additional activities or assignments deployed by Management based on business needs.
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