Specialist Business Compliance Treasures Specialist Business Compliance Treasures …

DBS Bank Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
DBS Bank Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Specialist Business Compliance Treasures
Business Function
As the leading bank in Asia, DBS Consumer Banking Group is in a unique position to help our customers realise their dreams and ambitions. As a market leader in the consumer banking business, DBS has a full spectrum of products and services, including deposits, investments, insurance, mortgages, credit cards and personal loans, to help our customers realise their dreams and aspirations at every life stage. Our financial solutions are not only the best in the business - they were made just right for you.
Job Objective
To assist Head of Business Compliance & Risk Control to ensure all T&D staff comply with staff conduct, relevant regulatory requirements, internal compliance guidelines and handle customer complaints and execution of remedial actions.
Responsibilities
  • Regulatory and Business Meeting follow up
    • To assist (deputize, if needed) Head of Business Compliance & Risk Control to follow up on issues raised in Regulatory (RPCM, RO) and Business Meeting.
  • Complaint handling (follow up and lesson learnt to prevent re happening)
    • Assist Head of Business Compliance & Risk Control to handle complaints (with vast range of nature from service, credit card to I&I related).
    • Join hands with CFM team and also frontline to handle complaints received, to follow up until settlement with lesson learnt and to liaise with partners on action to be taken to prevent re happening.
    • Not just look at single complaint case, but to review any similar nature, find and fix the root.
  • Follow up on Compliance, PNP, Product email, New initiative, Procedure change
    • Follow up the case assigned by Head of Business Compliance & Risk Control and liaise with relevant parties to ensure smooth implementation at the grounds
  • Follow up on FSCC Investigation
    • Sharing highlight of FSCC report in weekly T&D Meeting and lesson learnt.
    • Liaise with relevant parties for coaching / reinforcement and to discuss with Business Administration Head on other action to be taken (eg on procedure, checkpoints)
  • Weekly update at T&D Meeting
    • Discuss with Head of Business Compliance & Risk Control to select imp Compliance circular, email broadcast, market intelligence to share with T&D Management Team
  • Compliance Forum and briefing
    • Assist Head of Business Compliance & Risk Control to prepare for half yearly Compliance Forum and ad hoc briefing
    Relevant Experienc
    • 5 years' managerial experience in consumer banking business environment
    • Proven experience and skill sets in customer services
    • Knowledge of Wealth Management sales approach & compliance requirement
    Functional / Technical Competencies
  • Market & Industry Knowledge
    • Knowledge of market trends and competitive activities in general industries; awareness of overseas markets; understanding of competition and reaction to, the impact on, and opportunities created for consumer banking.
  • Regulatory Knowledge​​​​​​
    • Knowledge of rules and regulations for financial advisory and banking-related services, trends and anticipatory changes.
  • Impact & Influence
    • Desire to have a specific impact or effect on others. Persuade, convince or influence others to adopt one own's action, even when the other person has his/her own agenda, hearing in mind a customer focused approach.
  • Customer Focus
    • Able to identify and respond to customer needs by providing the excellent quality services. Also to sentiment the market and develop prospective customers who have need of the products developed.
    Apply Now
    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.
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