Responsibilities

• Conduct review on documentation and audio recording of investment / insurance transactions and follow up with rectification and negotiate with Business Units.
• Carry out thematic (end-to-end) review on new regulation compliance, PDD review, exceptional case, MIS report handling.
• Handle requests from regulator/Internal Audit/Compliance 
• Perform conduct/ sensitive case investigation
• Support training such as weekly tele-conference with Branches, Branch Service Managers meeting etc
• Other ad-hoc assignments, such as UAT for system projects, ad-hoc onsite or offsite inspections

Requirements

• Degree holder of Business Administration or related disciplines
• Minimum 4 years of relevant experience in compliance assurance / internal control / audit with knowledge of banking practices and regulated banking activities is preferable.
• Knowledge of investment and/or insurance products and services
• Good understanding and knowledge of operational risk and internal control principles.
• Independent, responsible, detail-minded and a fast learner.
• Good interpersonal and communication skills.
• Proficient in Microsoft Excel, Word and PowerPoint.
• Good command of written and spoken English and Chinese (including Putonghua).