Our Client:
A leading bank, is looking for an Assistant Manager to join their sales compliance team to cope with the bank’s daily operation.
Job Description:
- Assist 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 for bank’s 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
- To compile MIS report, KRI and Dashboard within committed timeline and in good order for management oversight
- To follow-up any discrepancies and irregularities identified in the course of monitoring and review exercise and monitor the progress of the rectification and remediation
- To engage in Regtech solution project to facilitate the adoption of technology to enhance the efficiency and effectiveness of the sales surveillance framework and mechanism
- To compile MIS report on monitoring of regulated activities or regular/ad hoc reporting to regulator
- To assist in performing quality assurance review for new account opening, AML periodic review for Bank’s customersTo communicate and coordinate with business units on AML related issues
Job Requirements:
- University graduate in Business, Legal, Risk Management or related discipline
- Minimum of 3 years’ experience in banking, risk management, compliance or related fields
- Experience in data mining, analysis or database management or equivalent
- Strong analytical skills and proficient in data analysis using statistical or programming tools such as SQL, MS Access/Excel is preferred
- Good communication, interpersonal and organization skills, with strong sense of responsibility
- Familiar with risk management and regulatory requirements related to personal banking sales
- Excellent command of both spoken and written English and Chinese