Assistant Quality Assurance Manager - Operations Risk & Compliance

The Bank of East Asia, Limited

Responsibilities

  • Assist Quality Assurance Manager on daily operations and processes of all channels that are executed in compliance with the Bank’s AML Policy and Guidelines.
  • Assist in implementation of quality assurance program for new account opening, AML periodic review and post-transactions monitoring for BEA customers 
  • Responsible for conducting difference sales compliance assurance and monitoring program on regulated selling activities to uphold a robust and effective sales surveillance framework for sales compliance assurance and management oversight
  • Conduct different sales monitoring and review exercise within committed timeline and in good order for sales compliance assurance
  • Compile MIS report, KRI and Dashboard within committed timeline and in good order for management oversight
  • Follow-up any discrepancies and irregularities identified in the course of monitoring and review exercise and monitor the progress of the rectification and remediation 
  • Engage in Regtech solution project to facilitate the adoption of technology to enhance the efficiency and effectiveness of the sales surveillance framework and mechanism
  • Compile MIS report on monitoring of regulated activities or regular/ad hoc reporting to regulator
  • Assist in performing quality assurance review for new account opening, AML periodic review for BEA customers
  • Communicate and coordinate with business units on AML related issues
  • Comply with all applicable regulations, rules, codes, guidelines and standards set by regulators and the Bank, and carry out duties with high integrity
  • 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
  • Keep abreast of the market practice related to sales and risk compliance issue of the regulated selling process
  • Take up ad-hoc projects and tasks as assigned by supervisor

Requirements

  • University graduate; OR
  • Minimum of 3 years’ experience in banking sector covers the following:
  • Sound knowledge and exposure in AML or compliance related issues;
  • Experience in investment or insurance is preferable;
  • Familiar with relevant bank policies, procedures, practices and rules;
  • Good communication skill and risk awareness;
  • PC literate with good knowledge of MS Office; and
  • Holder of professional qualification(s) of AAMLP or CAMS is preferable 
  • Good command of both spoken and written English and Chinese
更多工作資料
薪酬 N/A
待遇
  • 五天工作週
  • 生日假
  • 膳食津貼
  • 醫療計劃
  • 社交/休閒及運動設施
工種
  • 銀行 · 金融服務 - 一般 · 其他
教育程度
  • 學士

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