In this role, you will assist in managing the operational health of Retail Banking Division (RBD), and ensuring RBD business complied with the regulatory requirements.
Main Responsibilities:
Assist Senior Manager of Control Team to develop business and operational guidelines in consultation with various RBD business, frontline departments or other divisions to ensure RBD sales and delivery compliance with regulatory guidelines, compliance requirements and internal control policies
Review the compliance & control and identify areas for improvement
Review onboarding Customer Due Diligence (CDD) and Know Your Customer (KYC) work submitted by frontline staff to check that proper CDD has been properly done, and sufficient KYC information/ documents are obtained according to relevant guidelines to understand the legitimate reasons for account application and legitimacy of business
Coordinate amongst AFD, RM, account managers to ensure streamlined onboarding and fulfillment of EDD requirements for high-risk accounts incompliance with regulatory frameworks and internal policies
Conduct thorough CDD reviews on individual and SME customers in accordance with regulatory and internal policies
Act as a CDD checker on periodic/ trigger event reviews
Track and manage appropriate sign-off of CDD reviews by maker, checker, head of branches and head of RBD
Prepare and deliver CDD / AML related training
Take up ad-hoc tasks assigned by supervising managers
To meet the challenge, you should have the following qualifications and attributes:
University graduate with minimum 7 years or secondary education with minimum 10 years solid experience in Retail Banking regulations, operations, products and services, with compliance experience preferably
Sound knowledge on compliance and control assurance framework
Excellent communication and interpersonal skills
Self-initiative, able to work independently and under pressure, good time management
PC literate with good knowledge of Microsoft Office
Good command of both written and spoken English and Chinese, preferably including Putonghua
About Dah Sing Bank
Dah Sing Bank, Limited is a wholly-owned subsidiary of Dah Sing Banking Group (HKG:2356) which is listed on the Hong Kong Stock Exchange. Founded in Hong Kong over 70 years ago, Dah Sing Bank has been providing quality banking products and services to our customers with a vision to be “The Local Bank with a Personal Touch”. Over the years, the Bank has been rigorous in delivering on our brand promise to grow with our customers in Hong Kong, the Greater Bay Area and beyond – "Together We Progress and Prosper". Building on our experience and solid foundation in the industry, the Bank’s scope of professional services now spans retail banking, private banking, business and commercial banking. Meanwhile, the Bank is also making significant investments in our digital banking capabilities to stay abreast with smart banking developments in Hong Kong and to support financial inclusion at large.
In addition to its Hong Kong banking operations, Dah Sing Bank also has wholly-owned subsidiaries including Dah Sing Bank (China) Limited, Banco Comercial de Macau, and OK Finance Limited. It is also a strategic shareholder of Bank of Chongqing with a shareholding of about 15%. Dah Sing Bank and its subsidiaries now have around 70 branches operating in Hong Kong, Macau and Mainland China.
This Page is written by the Bank in English. Any automated translated text in other languages appearing on this Page is not written or provided by the Bank and the Bank shall not be liable for any related issue or error.
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本專頁由本行以英文撰寫。於本專頁出現之任何其他語言自動翻譯版本並不由本行撰寫或提供，本行將不承擔任何相關問題或錯誤。
本服務／產品並不是以歐盟的人士為目標。
