Senior Manager, Retail Compliance & Control

Dah Sing Bank

Hong Kong

6天前

Reporting to the Head of Retail Operations & Control, you will be responsible for supervising the team in meeting the control framework of Retail Banking Division (RBD) and ensuring sales and service quality assurance in areas of regulatory, compliance and internal control are met.

Job Responsibilities :

Develop business and operational guidelines in consultation with RBD business, front line departments or other divisions to ensure RBD sales and delivery compliance with regulatory guidelines, compliance requirements and internal control policies

Supervise and support RBD business and front line departments to perform the control duties

Assist in the development of procedure manuals for tasks or operations

Ensure tracking and resolution of operational incidents and internal control findings or issues are properly and timely followed up

Establish monitoring framework to ensure quality of operational and internal control is maintained at Group’s standard and able to identify inherent risks on an on-going basis

Ensure relevant risk and control MIS reports are timely reviewed and suspicions / incidents timely reported

Ensure proper record mechanism is in place for RBD business and front line departments to demonstrate compliance with regulatory guidelines and control policies or guidelines

Arrange training on risk control or compliance awareness and operational and AML control for RBD staff as appropriate

To meet the challenge, you should possess the following qualifications and attributes :

Degree holder

Minimum of 10 years of solid experience in retail banking operations with in-depth knowledge of risk and control framework

Extensive experience in managing risk in collaboration with other risk control functions

Strong communication and problem solving skills

Good command of written and spoken English and Chinese, including Putonghua

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