Business Manager - Quality Assurance (Wealth Management Department)
Bank SinoPac
Job Responsibilities:
Act as the first line of defense by advising the front office on product and investment suitability, ensuring full compliance with regulatory standards
Monitor transactions, selling processes, trade activities, business reviews, and other routine workflows to ensure proper oversight
Identify potential compliance or operational risks and propose recommendations to strengthen control weaknesses
Coordinate internal and external reviews or audits if necessary
Oversee Business Continuity Planning (BCP) and conduct User Acceptance Testing (UAT) for system enhancement projects
Provide staff training as needed to ensure team readiness and compliance
Job Requirements:
Degree holder or above in related discipline
Minimum 3 - 5 years of experiences in business compliance, preferably from Wealth Management or private banking
Good knowledge of SFC/HKMA regulations, with preference given to candidates who are current license holders
Good analytical and risk assessment skills
Good communication and interpersonal skills
Good command of written and spoken English and Chinese (including Putonghua)
Ability to work collaboratively in a fast-paced environment