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Manager, Sales Surveillance, WM COO, CBG & WM
Location: Hong Kong
DBS. Living, Breathing Asia.
DBS is a leading financial services group in Asia, with over 280 branches across 18 markets. Headquartered and listed in Singapore, DBS has a growing presence in the three key Asian axes of growth: Greater China, Southeast Asia and South Asia. The bank's capital position, as well as "AA-" and "Aa1" credit ratings, is among the highest in Asia-Pacific. DBS has been recognised for its leadership in the region, having been named “Asia’s Best Bank” by The Banker, a member of the Financial Times group, and “Best Bank in Asia-Pacific” by Global Finance. The bank has also been named “Safest Bank in Asia” by Global Finance for eight consecutive years from 2009 to 2016.
- Assist department head to ensure all T&D, TPC, IBG, CUL & Mortgage staff comply external regulatory codes/ordinance & internal compliance policies, standards, guidelines & procedures, particularly those applicable to the course of selling.
- Assist department head to conduct sanity checking on investment and insurance sales process by conducting monthly review, including but not limited to audio and documentation check, ensure front line sales compliant to the laid down guideline and to follow up on rectification action if necessary.
- Assist department head to enhance monitoring on pre-sales process by timely conduct audio review on mystery shopper visits on a monthly basis and follow up coaching if necessary.
- Assist department head to conduct reinforcement training to front line staff on errors detected in regular review in order to enhance sales quality.
- Assist department head to compile monthly summary on review findings to share in management meetings.
- Liaise with Policy and Procedure team to channel proper selling procedures to sales.
- Coordinate control and compliance related training
- Coordinate to ensure action plans are established to address control gaps/ issues identified form risk events, BHC, inspection, internal audit and regulatory review within reporting timeline. Track to ensure timely issue resolution according to defined timeline and alert management and Operational Risk Management team for any potential past due.
- Degree holder with minimum 2 years’ sales or support experience in Investments & Insurance / Secured & Unsecured Lending field, with sound knowledge regulated products regulations and guidelines.
- Possess good interpersonal and communication skills.
- Self-motivated, enthusiastic and organized.
- Able to work independently and part of a team.
- Meticulous with good analytical skills
- Proficiency in MS Office Word, Excel and PowerPoint.
We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
We regret only shortlisted candidates will be notified.