Senior Retail Risk & Compliance Manager - Retail Risk & Compliance

The Bank of East Asia

  • Central, Hong Kong
  • Permanent
  • Full-time
  • 26 days ago
Together, we can achieve moreThe Bank of East Asia, Limited ("BEA") is Hong Kong’s largest independent local bank with 48 branches, 42 SupremeGold Centres, and 3 i-Financial Centres throughout the city.Overseas, BEA has established a presence in Southeast Asia, the United Kingdom, and the United States. Worldwide, including Hong Kong and the rest of Greater China, BEA operates around 130 outlets and employs approximately 8,000 people. We invite you to become part of our team and to pursue a bright and exciting future.Responsibilities
  • Assist to monitor & control the investment & insurance selling activities of Personal Banking Division
  • Advise and review the control framework, end-to-end selling process, key changes to procedures and manuals, in relation to investment & insurance selling processes
  • Review and design investment & insurance surveillance framework
  • Participate and assist in regulatory compliance related projects initiatives including Regetch and system launch
  • Prepare and review MIS reports and relevant statistics on investment & insurance products selling activities and the related Key Risk Indicators
  • Follow up sales quality issues identified from MIS, Mystery Shopping Programs etc.
  • Conduct compliance training for frontline staff to raise awareness of proper investment and insurance selling process
  • Handle ad-hoc projects as assigned
  • Drive for continued improvement of the Bank’s TCF Initiatives
Requirements
  • University graduate
  • Minimum of 5 years’ experience in banking sector, with at least 3 years in supervisory role with exposure in regulatory compliance, in particular control and monitoring for retail investment & insurance product selling activities;
  • Good knowledge of regulatory compliance & risk management applicable to retail banking and e-banking
  • Excellent analytical skills
  • A good team leader with initiative and the ability to work independently
  • Excellent interpersonal and communication skills
  • PC literate with good knowledge of MS Office
  • Good command of both spoken and written English and Chinese
(Candidate with less experience will be considered for 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=U&FOCUS=Applicant&SiteId=1&JobOpeningId=4869&PostingSeq=1 or by clicking the "Apply Now" button. 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 1 year.

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