About this role
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.
-- 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
-- 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