About the opportunity
Job Overview
<p class="MsoNormal" style="text-align:justify">An HNI Sales Operations audit
is a detailed analysis of the sales process performed for HNI
Clients of the bank. Need to review the process performed from the onboarding
of a client and audit the various products they have availed .<o:p></o:p></p> <p class="MsoNormal" style="text-align:justify">1) Conducting
audits on investment trades executed by both Private Banking and Retail Banking
clients to ensure compliance and accuracy.<o:p></o:p></p><p class="MsoNormal" style="text-align:justify">2) Conducting
audits on investment portfolio reviews conducted in collaboration with clients,
ensuring thorough examination and adherence to established protocols.<o:p></o:p></p><p class="MsoNormal" style="text-align:justify">3) Conducting
audits on transactions, customer queries, and regulatory complaints to ensure
compliance and address potential issues proactively.<o:p></o:p></p><p class="MsoNormal" style="text-align:justify">4) Review
sales records to evaluate customer satisfaction with the quality of the
product, delivery time span, and other aspects.<o:p></o:p></p><p class="MsoNormal" style="text-align:justify">5) Review
and rest assure that the policies are applied and adhered the same.</p> <p class="MsoNormal" style="text-align:justify">Candidate with proven experience
in either Audit of HNI Client or HNI clients sales operations. Candidate should
hold excellent understanding on the guidelines of governing bodies regards to
the onboarding and operations of clients and their investments.<o:p></o:p></p>