Scope of the Role
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 .
Job Description
1) Conducting audits on investment trades executed by both Private Banking and Retail Banking clients to ensure compliance and accuracy.
2) Conducting audits on investment portfolio reviews conducted in collaboration with clients, ensuring thorough examination and adherence to established protocols.
3) Conducting audits on transactions, customer queries, and regulatory complaints to ensure compliance and address potential issues proactively.
4) Review sales records to evaluate customer satisfaction with the quality of the product, delivery time span, and other aspects.
5) Review and rest assure that the policies are applied and adhered the same.
Ideal Candidates
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.