CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Manager - Client Experience Investigations, Regulatory risk (global bank, contract)
Allegis Global Solutions
November 6, 2019
To support Executive Director, Client Experience, HK and to make presentation to Senior Management on regulatory risks and matters and as required.
To supervise managers of the Client Experience team on the handling of regulatory complaints
To deal with HKMA, SFC enquiries and prepare thorough reporting
To identify potential threats, frauds and high impact / risk cases that require immediate rectification/improvement and ensure that they are timely escalated to the relevant parties for actions and/or follow-up actions.
To ensure the following standards / requirements are met in the handling of regulatory complaints and investigations:
proper and appropriate level of investigation, analysis, and escalation, and where appropriate, rectification by applying the available resources / authority.
timely, clear and professional manner of communications with clients and regulators.
appropriate resolution with clients on regulatory complaints and investigations.
Degree holder with related experiences in Banking or Insurance industry
With legal background or experienced in dealing with HKMA or ICAC is preferred
Strong in compliance and HK regulation
Good command in spoken and written English and Chinese, including Putonghua