Manager, Sales Governance, WSO

Job Summary

We are looking for a motivated Executive to join our team, focusing on licensing work and administrative support, to also assist in performing sales surveillance exercises. The ideal candidate will play a key role in ensuring compliance with professional license requirements for staff, as well as assisting in the planning and execution of various license-related administrative and sales surveillance tasks.

Key Responsibilities

• Conduct and manage all aspects of licensing, including registration and deregistration processes for staff, Registered Officers (RO), and Executive Officers (EO) of the bank.
• Execute control measures to mitigate risks and enhance sales governance.
• Broaden awareness and understanding of the wider business, economic and market environment (in Licensing and Sales Governance area) in which the Group operates
• Assist to keep internal guidelines/ procedures updated in response to the Regulatory / Group guideline.
• Report and liaise with key stakeholders on solving ad-hoc license-related matters when it is needed.
• Assist in conducting comprehensive risk analyses to inform decision-making and strategic planning to drive quality and complied sales delivery
• Issue regular reports (e.g. license status report, CPD/ CPT completion status report etc.) for reconciliation purposes, identifying discrepancies and ensuring timely resolution.
• Play key role in Fit and Proper assessment and annual confirmation to ensure all licensed staff complying related guidelines & reporting requirements.

Skills and Experience

• Experience in Retail Banking 
• Language : English, Cantonese, Mandarin

Qualifications

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