Assistant Manager/Senior Officer, Business Operational Risk (I&I Control Assurance focus)

Mandatory Reference Checking Scheme (“MRC”) for Hong Kong

The Mandatory Reference Checking Scheme is a framework to facilitate Authorized Institutions (“AIs”) to bilaterally obtain reference information during their recruitment process for certain positions, such that misconduct information in an individual’s previous employments can be provided to AIs to inform their employment decisions.

For information related to MRC Scheme, “Frequently Asked Questions for In Scope Individuals” is published by HKAB/Industry Guidelines (https://www.hkab.org.hk/en/home) or further information will be available upon request, if it is applicable to the position(s) applied.

Country of Location:

China Hong Kong

Job Responsibilities:

• Review operations at branches and other units of Personal & Business Banking Group to ensure they comply with regulatory requirements, align with stipulated bank policies, guideline and operating procedures.
• Review the documentation and audio recording of retail investment and insurance transactions to ensure their correctness and completeness.
• Process the imaging records of investment and insurance documents and maintain the filing system.
• Prepare internal control assessment reports for the reviewed branch or unit, and recommend rectification or remedial actions to be taken.
• Perform any other duties as assigned by Supervisor(s).
• Support frontline and adhere to anti-money laundering and counter terrorist financing controls in accordance with regulatory standards and CNCBI policies.
• Clearly communicate with the internal customers regarding their needs and expectations through active listening and proactive questioning skills.

Requirements:

• Degree holder in Business Administration or related discipline is preferred.

• Minimum 3 years of experience in related to retail banking operations risk assurance, or relevant compliance or audit experience in banking practices and regulated banking activities is preferred.

• Possess knowledge of retail banking business as well as Investment and Insurance products and services.

• Understanding and knowledge of operational risk and internal control principles; ability to assess risk trends.

• Good presentation, communication and interpersonal skills.

• Good command of written and spoken English and Chinese (including Putonghua).