Associate Director, Sales Governance, WSO

Job Summary

We are seeking a skilled talent to join our Wealth Solutions Governance Conduct and Control team. This role will support the Head in conducting and controlling various governance initiatives, ensuring compliance, and enhancing operational efficiency. The ideal candidate will have experience in risk management, reporting mechanisms, and performance analysis, frontline WS sales experience is a plus.

Key Responsibilities

• Conduct comprehensive risk analyses to inform decision-making and strategic planning
• Develop and implement robust reporting mechanisms and risk management policies & exercise to ensure compliance and transparency.
• Awareness and understanding of the wider business, economic and market environment in which the Group operates
• Being part of 1st line of defence, responsible for executing and supervising the Sales Control process.
• Conduct comprehensive risk analyses to inform decision-making and strategic planning
• Analyze and manage complaints related to wealth management, identifying trends and areas for improvement
• Formulate and execute control measures, including both detective and predictive strategies, to mitigate risks and enhance governance.
• Develop and implement robust reporting mechanisms and risk management policies to ensure compliance and transparency
• Create and design presentation decks and management information reports for stakeholders, summarizing key findings and risk analyses.

Skills and Experience

• Language : English, Cantonese and Mandarin
• People management experience is preferred 

Qualifications

• Bachelor’s degree in Business Administration, Finance, or a related field; or equivalent work experience.