Job responsibilities
- Manage QA review programs/ad hoc review tasks and ensure its effectiveness from review design, execution and reporting perspectives as the first line of defense
- Lead a team of QA reviewers and manage team workload to achieve operational excellence
- Develop subject matter expertise on investment products and the related regulatory requirements
- For issues identified through QA reviews, draw inferences, identify root cause, and make recommendations for corrective action
- Provide quality assurance results, analyzes disputes, conduct reassessments and perform escalations and demonstrate fortitude against potential adversity
- Drive discussions with control partners including Compliance, Internal Audit and other testing teams
- Monitor the control and operational environment for changes which may impact quality assurance testing
- Recommend and implement enhancements to improve effectiveness and efficiency of services and systems
- Ensure testing procedures are kept current and accurate
Required qualifications, capabilities, and skills
- Bachelor's degree in business, finance, or related field
- Minimum of 6 years relevant experience in oversight functions such as front office supervision, audit, QA, risk & control or Compliance in Banks
- Fluency in verbal and written Cantonese and Mandarin is required
Preferred qualifications, capabilities, and skills
- People management experience
- Experience with Private Bank / Wealth Management front office operations, trading systems and financial products
- Strong analytical, issue resolution and problem solving skills
- Proven expertise in managing senior and front office stakeholders
- Be able to demonstrate the ability to lead and mentor team members and matrix manage diverse groups of stakeholders
- A positive attitude and team spirit with exceptional interpersonal and collaboration skills
- A curious mind that prefers to go deep to understand details
- Enjoy being a people manager