We are seeking a highly organized and analytical individual with strong leadership qualities and a deep understanding of regulatory compliance within the financial industry. As a Team Lead in Business Control and Quality Assurance, you will lead a dedicated team, drive continuous improvement, and act as a key point of contact for crucial stakeholders. You will leverage your expertise to enhance our sales monitoring capabilities and fortify our control mechanisms.
Key Roles and Responsibilities:
•Develop and maintain Standard Operating Procedures (SOPs) to ensure compliance with regional policies and local regulations. •Perform gap analyses for new or revised internal and external policies and regulations related to sales surveillance. •Drive enhancements to sales monitoring reports and control points/mechanisms by working closely with stakeholders. •Guide and lead team members in performing sales health checks and sales surveillance reviews for end-to-end investment and insurance sales processes. •Prepare training materials and arrange training sessions for team members. •Provide briefings and training to team members and frontline users on sales health check and sales surveillance-related tasks, and on risk control concepts •Sales mis-conduct case investigation
Our Ideal Candidates:
•University or above. •With at least 8 years related experience and expertise in employee mis-conduct investigation. •Familiar with banking branch operations /sales process or control assurance techniques. •Good investigation and presentation skills, such as evidence collection, information gathering, related party interview, meeting material preparation and presentation to senior levels. •Ability to work independently and maintain confidentiality of records and information. •Aggressive, positive thinking and task-oriented. •Good in MS office tool, including Excel and PowerPoint. •Willing to take challenge, ability to work under pressure and a good team player.
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