Officer / Senior Officer – Internal Control
Laichikok, Kowloon

Officer / Senior Officer Internal Control

Company : Corporation / Salary : $Negotiable

Responsibilities :

  • 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.
  • Requirements :

  • 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
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