Manager, Retail Compliance & Control

In this role, you will assist in managing the operational health of Retail Banking Division (RBD), and ensuring RBD business complied with the regulatory requirements.

Main Responsibilities:

• Assist Senior Manager of Control Team to develop business and operational guidelines in consultation with various RBD business, frontline departments or other divisions to ensure RBD sales and delivery compliance with regulatory guidelines, compliance requirements and internal control policies
• Review the compliance & control and identify areas for improvement
• Review onboarding Customer Due Diligence (CDD) and Know Your Customer (KYC) work submitted by frontline staff to check that proper CDD has been properly done, and sufficient KYC information/ documents are obtained according to relevant guidelines to understand the legitimate reasons for account application and legitimacy of business
• Coordinate amongst AFD, RM, account managers to ensure streamlined onboarding and fulfillment of EDD requirements for high-risk accounts incompliance with regulatory frameworks and internal policies
• Conduct thorough CDD reviews on individual and SME customers in accordance with regulatory and internal policies
• Act as a CDD checker on periodic/ trigger event reviews
• Track and manage appropriate sign-off of CDD reviews by maker, checker, head of branches and head of RBD
• Prepare and deliver CDD / AML related training
• Take up ad-hoc tasks assigned by supervising managers

To meet the challenge, you should have the following qualifications and attributes:

• University graduate with minimum 7 years or secondary education with minimum 10 years solid experience in Retail Banking regulations, operations, products and services, with compliance experience preferably
• Sound knowledge on compliance and control assurance framework
• Excellent communication and interpersonal skills
• Self-initiative, able to work independently and under pressure, good time management
• PC literate with good knowledge of Microsoft Office
• Good command of both written and spoken English and Chinese, preferably including Putonghua