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Reporting to Team Head, Wealth Management Business Control, you will be responsible for ensuring efficient and quality wealth management sales compliance activities in Retail Banking Division/Wealth Management Division.
Responsibilities
Develop and maintain the policies, procedures, guidelines, forms, scripts and FAQ related to wealth management business to ensure regulatory compliance and conduct regular review on such
Coordinate wealth management projects related to account opening, selling process enhancement, product suitability and regulatory compliance
Conduct sales process training to frontline staff, including new joiners and existing staff
Conduct wealth management products post-transaction monitoring to ensure sales activities are conducted according to guidelines and regulatory requirements
Assist the Team Head to provide coaching to other team members in the Wealth Management Business Control area
To meet the challenge, you should have the following qualifications and attributes:
Degree holder
Minimum 5 years of relevant experience in banking industry
Professional licensing qualifications per local regulatory bodies requirement
Strong interpersonal, communication, coordination and analytical skills
Team player, able to work with all levels of staff
Self-initiative, able to work independently and under pressure
Good command of written and spoken English and Chinese
Please note that only shortlisted candidates will be notified.
