Position Objective: To conduct thorough due diligence actions on different functions effectively and timely. Roles and Responsibilities: Quality Assurance Assist the development and implementation of quality assurance programs to ensure operations and services are up-to-standard Review various processes, procedure manuals and complaints to identify potential risk exposures and process improvement areas, and recommend changes and enhancement in processes when necessary Assist to monitor the implementation of action items Participate in process improvement projects/tasks to improve operation efficiency and effectiveness and provide recommendations to support business goals Liaise with various stakeholders such as internal parties and auditors to maintain effective communication Corporate Solutions (CS) Broker on-boarding Routine Operations Review the completed due diligence questionnaire from Brokers Background checks e.g. name screening and IA license checking Annual review for existing CS Brokers Register Broker profile and grant License Codes to Brokers in system Suspend / Terminate Broker Licenses Perform other responsibilities and duties periodically assigned by immediate manager in order to meet business requirements.
Others: Conduct on-the-job coaching/training to junior/new staff Hold in-house briefings to the teammates regularly Handle staff problem promptly and properly, report on results with efficient and proactive way Maintain positive relationship with internal and external customer Financial and Non-Financial Measures:
Customer-centric Products Services (TAT, Quality..etc) Efficiency and effectiveness Accuracy, timeliness and completeness of work produced A good team player with the ability to work under pressure Adhere to work procedures and Company standards Staff engagement survey result Communication Requirements Internal
External Internal Communicate with internal departments whenever necessary and Daily engagement with joint departments on functional priorities Regular performance review with subordinates Periodic discussions/ meetings with the customers on operations issues External Communicate with Brokers whenever necessary with regards to registration and licensing issues Minimum Job Requirements: Education & Experience College graduated or above Minimum 1 year working experience in financial institution and 1 year above of audit, compliance governance experience, relevant experience in agency/Broker registration / contracting area, and administrative support to agency/Broker channel is preferable Language Skill English & Cantonese Certifications/licenses Industry certifications and practitioners’ licenses Special skills Proficient in MS Office Demonstrated understanding of the due diligence process, showcasing expertise in analysis and documentation in order to identify risks and make recommendations. Strong attention to detail to maintain high standards in due diligence activities. Good communication skills. Ability to work accurately and to precise detail, good organizational skills and ability to prioritize workloads. Proactive approach to multiple tasks, commitment to meeting deadlines, and a focus on achieving quality outcomes. Good command of written English & Chinese.
