Manager, Wealth Management Business Control

Dah Sing Financial Group
Hong Kong, Hong Kong
Jun 11, 2023
Jun 17, 2023
Job Function
Wealth Management
Industry Sector
Finance - General
Employment Type
Full Time
About Dah Sing Group
The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China.
Our currency is caring, teamwork and progressiveness. We accept that everyone is unique and different in talent, but alike in the capacity for growth. Our task is to shape a culture that creates a sense of pride in achieving something beyond just a job, and an environment where you can be your true and authentic self, like at home.

Reporting to Head of Wealth Management Business Control, you will be responsible for ensuring efficient and quality wealth management sales compliance activities in Retail Banking Division/Wealth Management Division.

  • Develop and maintain the policies, procedures, guidelines, forms, scripts and FAQ related to wealth management business to ensure regulatory compliance and conduct regular review on such
  • Coordinate wealth management projects related to account opening, selling process enhancement, product suitability and regulatory compliance
  • Conduct sales process training to frontline staff, including new joiners and existing staff
  • Conduct wealth management products post-transaction monitoring to ensure sales activities are conducted according to guidelines and regulatory requirements
To meet the challenge, you should have the following qualifications and attributes:
  • Degree holder
  • Minimum 5 years of relevant experience in banking industry
  • Professional licensing qualifications per local regulatory bodies requirement is preferable
  • Strong interpersonal, communication, coordination and analytical skills
  • Team player, able to work with all levels of staff
  • Self-initiative, able to work independently and under pressure
  • Good command of written and spoken English and Chinese
Please note that only shortlisted candidates will be notified.
  • You need to sign in to save