Officer / Senior Officer Internal Control
Company : Corporation / Salary : $Negotiable
The incumbent will be responsible for reviewing workflow and procedures and ensure the execution of quality assurance programs
Update and draft regular internal control reports, loss report and regulators submission.
Draft and update policies & procedures / guidelines for the business operations and products / services in accordance with regulatory requirements, corporate guidelines and control standard to meet the requirements of HKMA.
Draft and maintain operational documentation including forms and vouches according to business, compliance, corporate & regulatory requirements
Assist user to implement up operations procedures for new business and products
Conduct quality control process, voice record checking, operations process inspection
Including monitor the Tape Recording for Selling Progress and Risk Profile
Operations in order to confirm the quality of services provided by Sales Agents.
University Degree holder in Business / Finance or related disciplines
Preferably with IIQAS and / or other required qualifications under SFC for selling insurance and investment products
Minimum 4 years’ solid experience retail / wealth management / private Banking o
With sound knowledge of cross selling of retail or private / wealth products.
Excellent command in English, Cantonese and Mandarin