This job is expired.


Assistant Retail Risk & Compliance Manager, Retail Risk & Compliance Department

Hong Kong, Hong Kong
Last update 2024-04-22
Expires 2024-04-22
ID #2101178767
Assistant Retail Risk & Compliance Manager, Retail Risk & Compliance Department
Hong Kong, Hong Kong,
Modified April 4, 2024


Assistant Retail Risk & Compliance Manager, Retail Risk & Compliance Department (Job ID 4392)   Responsibilities To be a team member of Retail Risk & Compliance Department To monitor and control the investment & insurance selling activities of Personal Banking Division (“PBD”) To advise and review the control framework, end-to-end selling process, key changes to procedures and manuals, in relation to investment & insurance selling processes To review the MIS reports and relevant statistics on investment & insurance products selling activities and the related Key Risk Indicators To review sales quality issues identified from the Mystery Shopper Programs and the three lines of defense To perform call-back exercise for investment product transactions with potential pre-judicial effect of the sales staff within PBD To carry out additional control on insurance product selling activities via monthly sampling To raise frontline staff’s awareness of the unethical behavior and develop governance communication plan to improve awareness and mindset of proper investment and insurance selling To drive for continued improvement of the Bank’s TCF Initiatives   Requirements University graduate Minimum 3 years’ experience with exposure in particular control and monitoring for retail investment & insurance product selling activities Good knowledge of regulatory compliance & risk management applicable to retail banking A good team player with initiative and the ability to work independently Good analytical, interpersonal and communication skills PC literate with good knowledge of MS Office, basic knowledge of SQL / Tableau is a plus Good command of both spoken and written English and Chinese (Candidate with more experience will be considered for the post of Retail Risk & Compliance Manager)   Please apply online via the BEA Careers website at


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Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Assistant retail risk & compliance manager, retail risk & compliance department

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