Quality Assurance Manager - General Accounts Operations

Responsibilities

• Establish a robust and effective sales surveillance framework for sales compliance assurance and monitoring by adopting a risk-based monitoring approach and mechanism such as post-transaction checking and thematic review
• Design and develop a robust and efficient risk and compliance reporting mechanism for identification of irregularities and monitoring of abnormal pattern in relation to regulated selling activities by the means of MIS report, KRI and Dashboard
• Review and monitor the completion of various sales monitoring and review exercise including rectification and remediation within committed timeline and in good order for sales compliance assurance
• Review and monitor the completion of MIS report, KRI and Dashboard within committed timeline and in good order for management oversight
• Engage in Regtech solution project to facilitate the adoption of technology to enhance the efficiency and effectiveness of the sales surveillance framework and mechanism
• Implement quality assurance program for new customer onboarding or AML periodic review for BEA customers
• Participate actively in any ad-hoc projects for the department/Bank as required
• Supervise the subordinates and ensure their works meet the required standard of the bank and appraise his/her performance
• Assist his/her supervisor to improve the subordinates’ engagement and strengthen communications by regular team talk, listen-up and cross product training within and across other teams
• Comply with all applicable regulations, rules, codes, guidelines and standards set by regulators and the Bank, and carry out duties with high integrity; and
• Adhere to all established risk control guidelines, procedures and measures to identify, assess, report, mitigate and monitor the risks involved in the day-to-day work

Requirements

• University graduate, preferably major in Banking, Economics, Finance; OR
• Preferable over 7 years’ experience in banking sector cover the following:
• At least 4 years in supervisory level
• Sound knowledge of banking operations/AML/compliance related issues
• Able to exercise judgement effectively
• Able to lead a team to ensure the provision of excellent support services
• Good understanding of relevant policies, procedures, practices and rules
• A team leader with good communication skills and risk awareness;
• HKIB or equivalent professional qualifications is an advantage;
• Good command of both spoken and written English and Chinese, proficiency in Putonghua is an advantage.