Assistant Manager, Retail Compliance & Control

About Dah Sing Group
The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China.
Our currency is caring, teamwork and progressiveness. We accept that everyone is unique and different in talent, but alike in the capacity for growth. Our task is to shape a culture that creates a sense of pride in achieving something beyond just a job, and an environment where you can be your true and authentic self, like at home.

Responsible for ensuring CDD and KYC for SME account opening are adequately and appropriately done in accordance with relevant guidelines.

Main Responsibilities:

• 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.
• Appropriately request for further information and supporting documents to support legitimate reasons for account application and legitimacy of business.
• Propose appropriate changes to KYC process as appropriate according to review findings, comments frontline and issues identified by different control functions.
• Assist to compile management information as appropriate to facilitate review of the quality of KYC.
• Assist to review the relevant procedure manuals regarding on account opening of SME account.
• Analyze the assurance checking result and recommend appropriate operational control measures and enhancements on SME account application process
• Provide appropriate training to frontline staff on proper conduct of KYC.

To meet the challenge, you should have the following qualifications and attributes:

• Degree holder with 5 years' experience in Retail Banking Operations; or secondary education with 7 years' experience in retail banking operations
• Good knowledge of AML requirements
• Self-motivation with good interpersonal, communications and presentation skills
• PC literate with good knowledge of Microsoft Office
• Good command of both written and spoken English and Chinese

Please note that only shortlisted candidates will be notified.