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Officer position in Investments and Insurance Sales Surveillance responsible for conducting surveillance monitoring reviews to support the Investments and Insurance business across APAC. The role involves data analysis, report reviews, document/voice log reviews, and ensuring compliance with approved sales processes.
Job Responsibility:
Review and disposition of alert triggers based on investigation results
Listen to voice logs (Investment/Insurance Call Monitoring) for Hong Kong market
Document exception findings and track corrective actions
Prepare trend analysis and surveillance reports for management reporting
Provide feedback and coaching on correct phone sales process to Sales Representatives
Provide consultations on sales process and branch operational matters
Report and document Quality of Work reports of Sales Representatives
Continuously seek process improvement to enhance efficiency
Review and update policies and unit procedures
Implementation of processes and procedures on compliance matters
Requirements:
At least 1 to 2 years of banking experience in consumer banking products and processes
Prior experience in a customer service, sales or compliance would be an advantage
Good understanding of local sales advisory regulations
Bachelor's degree or equivalent work experience
Excellent judgment and assessment skills
Excellent communication skills
Excellent work ethic
Excellent organization and prioritization skills
Able to multitask
Proficient in MS Office
Cantonese listening, read and write skill is mandatory
Nice to have:
Being multilingual is an advantage
Prior experience in customer service, sales or compliance
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