Auyong Johnson
Summary
Experienced Market Conduct Specialist with established analysis, communication and interviewing talents. Knowledgeable about internal controls, process evaluations and procedural reviews. Bringing over 15 years of experience in the Financial Industry with over 8 years of experience in Compliance.
Overview
15
15
years of professional experience
1
1
Certification
Work History
AFC Internal Investigations (FAA) Investigator
UOB Bank
02.2023 - Current
- Investigate complaints or allegations of FAA related misconduct against representative in a fair, independent and prompt manner.
- Liaise with internal stakeholders and customers to obtain clarification and corroboration on account / transaction.
- Provide sound assessment and make recommendation according to the regulations/guidelines or internal policy
Senior Market Conduct Specialist
Etiqa Insurance Pte. Ltd.
05.2022 - 02.2023
- Investigate complaints or allegations of misconduct against representative in a fair, independent and prompt manner
- Provide sound assessment and make recommendation according to the regulations/guidelines or internal policy
- Conduct monthly compliance induction trainings for new staff and representatives
- Conduct annual review on internal Anti Bribery and Corruption, Anti-Fraud and Whistleblowing policies and procedures
- Conduct quarterly BSC review and updating management on BSC results
- Assist with the submission of investigation report for complaints pertaining to mediation and adjudication at the Financial Industry Disputes Resolution Centre Ltd (FIDReC)
- Assist in ad-hoc AML screening projects
Conduct Surveillance Investigator
Prudential Assurance Company Singapore
07.2017 - 05.2022
- Investigate complaints or allegations of misconduct against representative in a fair, independent and prompt manner
- Interview representatives and conduct debriefing sessions with Agency Leaders and the Distribution on the outcome of the investigation
- Provide sound assessment and make recommendation according to the regulations/guidelines or internal policy
- Mete out the prescribed sanction(s) for any breaches of the regulations/guidelines or internal policy by the distribution channels, including the lodgment and liaising with local enforcement agency and regulator
- Facilitate meetings between the representative and Sales Force Disciplinary Committee for representative's appeal against sanction(s)
- Conduct data analysis and preparation of risk indicator reports for management and CPFB
Senior Account Executive
Aon Singapore Pte Ltd
05.2016 - 07.2017
- Review of renewal terms
- Review and preparation of Renewal Proposal/ Claims Analysis
- Meeting with clients on pre-renewal and/or renewals
- Preparation of Service Level Agreement
- Presentation of the benefits programme to employees
- Getting updates on the employee movements from clients
- Following up of underwriting requirements with clients
- Resolving the enquiries from both HR and employees
- Ensure prompt payment by clients/accounts that are assigned
Team Leader, Service Quality
AIA Singapore
02.2012 - 12.2015
- Effectively manage challenging customers and situations during face-to-face or over the phone escalation process
- Provide guidance and directions to the team in their case handling
- Vet replies drafted by the staff and to provide feedback of the area of gaps
- Manage end-to-end process of the complaints received and maintain the service delivery standards
- Conduct investigation and communicate to customers on the investigation outcome and to provide customers with an amicable settlement, if any
- Liaise with internal departments which support the investigation and service recovery processes
- Ensure that the team adheres to the Complaints Management SOP and the cases received are handled and closed within the established turnaround time (TAT)
- Follow through the complaint cases to bring customers' issues to satisfactorily conclusion
- Identify critical issues of the complaints received and provide feedback to the department concerned and/or management for review and improvement
- Ensure submission of complaints management related reports on a timely basis
- Handle end-to-end process of the complaints pertaining to mediation and adjudication at the Financial Industry Disputes Resolution Centre Ltd (FIDReC) and act as the Company's representative at such sessions
Relationship Manager, Customer Service
AIA Singapore
06.2010 - 02.2012
- Provide seamless customer service to walk-in customers, to have a customer-centric approach
- Deliver professional customer service and manage turnaround time to ensure customers are served promptly, and execution of instructions timely
- Process various customer transactions and policy servicing
- Take prompt and efficient follow-up actions to solve customer's straightforward and complex requests
- Ensure compliance to all service standards and KPIs
Education
Bachelor - Business (Marketing)
Royal Melbourne Institute of Technology
01-2010
Diploma - Management Studies
Singapore Institute of Management
01-2007
Skills
- Investigation
- Stakeholders management
- Good communication skill with internal or external clients
- Analytical and meticulous on details
- Self-motivated team player
- Responsible and fast learner
- Good understanding of the insurance industry and operations
- Knowledge of regulations and industry guidelines applicable to the insurance/financial industry
Certification
- CMFAS Certifications Obtained:
- Module 5
- Module 8
- Module 8A
- Module 9
- Health Insurance
- Personal General Insurance
- Commercial General Insurance
- Basic Insurance Concepts and Principles
REMUNERATION
- Last Drawn: S$7,350 / Month
AVAILABILITY
1 Month Notice Period
Timeline
AFC Internal Investigations (FAA) Investigator
UOB Bank
02.2023 - Current
Senior Market Conduct Specialist
Etiqa Insurance Pte. Ltd.
05.2022 - 02.2023
Conduct Surveillance Investigator
Prudential Assurance Company Singapore
07.2017 - 05.2022
Senior Account Executive
Aon Singapore Pte Ltd
05.2016 - 07.2017
Team Leader, Service Quality
AIA Singapore
02.2012 - 12.2015
Relationship Manager, Customer Service
AIA Singapore
06.2010 - 02.2012
Bachelor - Business (Marketing)
Royal Melbourne Institute of Technology
Diploma - Management Studies
Singapore Institute of Management
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