We are seeking a highly organized and analytical individual with strong leadership qualities and a deep understanding of regulatory compliance within the financial industry. As a Team Lead in Business Control and Quality Assurance, you will lead a dedicated team, drive continuous improvement, and act as a key point of contact for crucial stakeholders. You will leverage your expertise to enhance our sales monitoring capabilities and fortify our control mechanisms.
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Key Roles and Responsibilities:
- Develop and maintain Standard Operating Procedures (SOPs) to ensure compliance with regional policies and local regulations.
- Perform gap analyses for new or revised internal and external policies and regulations related to sales surveillance.
- Drive enhancements to sales monitoring reports and control points/mechanisms by working closely with stakeholders.
- Guide and lead team members in performing sales health checks and sales surveillance reviews for end-to-end investment and insurance sales processes.
- Prepare training materials and arrange training sessions for team members.
- Provide briefings and training to team members and frontline users on sales health check and sales surveillance-related tasks, and on risk control concepts
- Sales mis-conduct case investigation
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Our Ideal Candidates:
- University or above.
- With at least 8 years related experience and expertise in employee mis-conduct investigation.
- Familiar with banking branch operations /sales process or control assurance techniques.
- Good investigation and presentation skills, such as evidence collection, information gathering, related party interview, meeting material preparation and presentation to senior levels.
- Ability to work independently and maintain confidentiality of records and information.
- Aggressive, positive thinking and task-oriented.
- Good in MS office tool, including Excel and PowerPoint.
- Willing to take challenge, ability to work under pressure and a good team player.
Location:
Honhui A-14F
Job:
Risk Management
Schedule:
Regular
Employee Status:
Full time
