Senior Manager - Sales Governance - Gurugram

Job Description

JD Sales Governance As a part of the first line of defence, the role of Sales Governance is to ensure all key issues, pertaining to governance, compliance & Audit, within sales & training are identified, escalated, mitigated and monitored through an appropriate internal control environment/ framework which includes process reviews and process s reengineering with implementation and control monitoring. Key Job Responsibilities Timely creation and updation of multiple Sales Quality reports such as Sales Monitoring tool, Sales Quality Dashboard, Sales KRI, Sales Quality Scores etc. Carry out data analysis on complaints and RCU findings to ascertain any trend or patter and recommend mitigants to prevent the incidents from happening. Schedule F2F interactions and investigations on pre issuance fraud, forgery, impersonation and unethical business practice reported to sales governance. Carry out and challenge testing of controls as a part of the internal control monitoring plan (ICMP) and provide assurance to Sales function on working of internal controls Review and updation of the Risk Control Self Assessment (RCSA) parameters for Sales and Training post discussion with the stakeholders and carry out periodic RCSA testing with results shared with the risk team along with the recommendations Carry out root cause analysis for the incidents highlighted/ escalated by the Sales Quality Function. First line oversight on all sales quality, sales governance; support the sales quality team in carrying out reviews and feed relevant information with sales function. Responsible for implementation and adherence of all regulatory policies and process w.r.t. to sale of insurance to the prospective customers. Assist in carrying out Sales reviews, annual BCP/ DR drills, SQRG, audit, information security reviews, fraud risk assessments etc. Carry out regular gap analysis against the HSBC FIMs relevant to the functional areas Monitoring quality of sales and dissemination of the sales quality score to the stakeholders. Along with the sales leadership team take corrective actions to improve the sale quality. Implementation and monitoring of changes in the sales area as an outcome of the regulatory change / update from the regulator. Implementation and providing update on the new and existing regulatory changes. To ensure monthly analysis of complaints and incident and dashboard to be released to field sales Detailed geographical analysis on complaints and incidents