VP, Team Lead, Business Control and Quality Assurance, COO, Consumer Banking Group

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.

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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

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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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