Sales Compliance Implementation Manager - Hang Seng Bank
4 January, 2019
Responsibilities • Observe the rules and implement associate reinforcement under internal guidelines (e.g. Group Functional Instruction Manual) and other regulatory requirements to be complied within RBWM in all aspects of strategy, sales process, product suitability, client correspondence, financial promotions and administration • Formulate and review sales flow and guidelines to strike a balance between sales efficiency and the compliance requirement of the Bank and regulatory authorities • Design, execute and review coaching plans and training materials on sales compliance and quality reinforcement for stakeholders among branch network through groups or one on one sessions • Give advice to stakeholders on pre-launch preparation for new products and implementation of new procedures • Elevate the professionalism of Branch Network and Wealth Management sales team to ensure that sales activities are at the required global standard • Contribute to the group creating and retaining market leading standards and controls Requirements • University degree or diploma in business related discipline • Minimum of 5 years’ banking experience, ideally with exposure to sales compliance in banking environment • Strong attentiveness to detail, compliance and control orientation • Good communication, presentation and interpersonal skills • Excellent analytical, project management and problem solving skills • Passes in the Hong Kong Securities Institute Licensing Examinations • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes
Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.