Managing misconduct in the financial advisory sector

FRESH out of school and into employment, most of us would have some recollection of our first job. There was the daily climb up the stairs upon alighting from the MRT. At every meeting, we ensured every page of the meeting document was duly photocopied. We checked more than twice to ensure that the conference room on the executive floor with a view of the container ships dotting the skyline was booked, and the projector was all-ready to go several days before and on the meeting day itself.

We also did a host of other tasks. As we got more proficient (and after tripping multiple times), most of us started making more decisions. And if we performed above expectations, we may be called upon to lead and supervise a team.

However, a good performer at entry level tasks may not make a good supervisor. This is because the supervisor now needs to lead and manage a team - this new role requires a very different skill set than the skill set which got the supervisor his or her promotion. Arguably to lead it is best that one has prior experience in the tasks of his or her subordinates. A supervisor, needless to say, plays multidisciplinary roles: as a planner, manager, guide, trainer and leader, mediator, counsellor and performance evaluator.