Manager, Retail Compliance & Control
Dah Sing Bank
Hong Kong

Reporting to Head of Retail Operations & Control, you will be responsible for managing the operational health of retail banking division, and ensuring retail banking business complied with the regulatory requirements.

Job Responsibilities :

  • Assist the Head of Retail Operations & Control to develop business and operational guidelines in consultation with various retail banking business, frontline departments or other divisions to ensure retail banking sales and delivery comply with regulatory guidelines, compliance requirements and internal control policies
  • Assist to set up monitoring framework to ensure quality of operational and internal control is maintained at Group’s recognized standard
  • Maintain up-to-date control assurance methodology
  • Conduct compliance review and assurance checking
  • Review the compliance & control and identify areas for improvement
  • Ensure relevant risk and control MIS reports are timely reviewed and reported
  • Execute appropriate operational control measures and enhancements to address control improvements and risk mitigation, including recommendations made by auditors and regulators
  • Assist to oversee the tracking and resolution of operational incidents and internal control findings or issues, and ensure these are properly and timely followed up
  • Provide / assist the training to staff concerned on the knowledge and awareness of compliance in the relevant requirements and internal control policies
  • Assist in the development of procedure manuals for detailed tasks or operations
  • Take up ad-hoc projects as and when required
  • To meet the challenge, you should possess the following qualifications and attributes :

  • University degree with minimum 5 years or secondary education with minimum 10 years solid experience in Retail Banking regulations, operations, products and services, with compliance experience preferably
  • Hands on experience and knowledge on compliance and control assurance framework
  • Excellent communication and interpersonal skills
  • Self-initiative, able to work independently and under pressure, good time management
  • PC literate with good knowledge of MS Office
  • Good command of written and spoken English and Chinese, preferably including Putonghua
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