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.