Job Objective As of the *** defend line & third-party reviewer to assist CB branch to enhance internal control and ensure compliance with internal policies and guidelines. In charge of branch BI/BHC review & sales health review (subjected to manager’s arrangement), cooperate with branches & Regional team for QA BAU, and internal coordinate, take team leader role in SH, to lead a group team complete BAU and other tasks. Principal Responsibilities - To plan and conduct QA inspection / health check on branch related business to identify operation gap and enhance internal control. - To close monitor on outlet/branch’s risk control, ensure OM & all processes were fully conducted during branch BAU. - To track on issue and action plan arising from QA inspection and health check, internal and external inspections, to help branch avoid high risk repeat issue during BAU. - To arrange and organize team affairs to ensure completion with quality and quantity. - To assist the team leader in team management and collaboration between departments & regional team. Job Dimensions - To plan and conduct CA inspection / health check on CB branch to identify operation gap and enhance internal control. - Conduct onsite operation inspection twice a year at each outlet/sub-branch, one for full scope branch inspection and the other for limited scope branch health check. - Conduct sales health check at outlet/sub-branch on quarterly basis. - To plan and conduct self-review / thematic review according to the instruction from regulator\ audit\ RMG\ compliance etc. - To share finding from past internal/external inspections with branch staffs to enhance their risk control awareness and prevent from repeat high risk issue. - To track issue and action plan arising from CA inspection and health check, internal and external inspection. - To coordinate with CB branch for various internal audit and health check programs as well as regulator’s inspection. - To follow drafted schedule, cooperate with other Deps & Regional office for QA BAU, and internal work. - To oversee the QA inspection planning/ process and track to ensure on time completion; continuously improve QA manager’s knowledge and skill for career development. - Other tasks assigned by QA team head. Education and Relevant Experience - Bachelor’s degree holder or above. - Over 12 years’ working experience in consumer banking, with relevant experience in operation management, risk control, compliance, audit is preferred, team leader experience. Functional / Technical Competencies - Strong knowledge in operational risk management, Consumer Banking (CB) product and service with relevant working/audit experience. - Good understanding of the regulatory requirement governing CB products and services. - Good analytical, planning and communication skill with teamwork spirit as well as trouble shooting are essential. - Team management experience. - Excellent in both written and spoken English and Mandarin, Cantonese will be given priority. - Proficiency in MS Office software. - Self-motivated and able to work independently and under pressure. On time completion of inspection and relevant report.
