Senior Manager, Retail Compliance & Control
Dah Sing Bank
Hong Kong
1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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