Assistant Retail Risk & Compliance Manager, Retail Risk & Compliance Department

Assistant Retail Risk & Compliance Manager, Retail Risk & Compliance Department (Job ID 4392)

Responsibilities

• To be a team member of Retail Risk & Compliance Department
• To monitor and control the investment & insurance selling activities of Personal Banking Division (“PBD”)
• To advise and review the control framework, end-to-end selling process, key changes to procedures and manuals, in relation to investment & insurance selling processes
• To review the MIS reports and relevant statistics on investment & insurance products selling activities and the related Key Risk Indicators
• To review sales quality issues identified from the Mystery Shopper Programs and the three lines of defense
• To perform call-back exercise for investment product transactions with potential pre-judicial effect of the sales staff within PBD
• To carry out additional control on insurance product selling activities via monthly sampling
• To raise frontline staff’s awareness of the unethical behavior and develop governance communication plan to improve awareness and mindset of proper investment and insurance selling
• To drive for continued improvement of the Bank’s TCF Initiatives

Requirements

• University graduate
• Minimum 3 years’ experience with exposure in particular control and monitoring for retail investment & insurance product selling activities
• Good knowledge of regulatory compliance & risk management applicable to retail banking
• A good team player with initiative and the ability to work independently
• Good analytical, interpersonal and communication skills
• PC literate with good knowledge of MS Office, basic knowledge of SQL / Tableau is a plus
• Good command of both spoken and written English and Chinese

(Candidate with more experience will be considered for the post of Retail Risk & Compliance Manager)

Please apply online via the BEA Careers website at https://careers.hkbea.com/psp/hcmprd/EMPLOYEE/HRMS/c/HRS\_HRAM.HRS\_APP\_SCHJOB.GBL?Page=HRS\_APP\_JBPST&Action=UFOCUS=Applicant&SiteId=1&JobOpeningId=4392&PostingSeq=1 or by clicking the "Apply Now" button below. Kindly note that if you are a new user, you have to first create your User Profile before you can apply.

Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Data Policy, which is available upon request. Applicants who are not invited for interviews within six weeks may consider their applications unsuccessful and the personal data collected will be destroyed after six months.