Sales Compliance Implementation Manager

  • N/A
  • Hong Kong
  • CDI, Plein-temps
  • Hang Seng Bank Limited
  • 11 févr. 19

A Career with Hang Seng Bank - Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.

Retail Distribution – Wealth Sales Distribution

Hang Seng's Retail Distribution focuses on personal wealth management and financial services. Our one-stop wealth management initiatives are designed for both our affluent and mass integrated account customers. With more than 250 branches and automated banking centres, including over 50 Prestige Banking Centres for our high-end personal customers, we serve over half of the adult population, offering an extensive range of products.

We are currently seeking a high caliber professional to join our Wealth Sales Distribution as Sales Compliance Implementation Manager.


Principal responsibilities

  • Observe the rules and implement associate reinforcement under internal guidelines (e.g. Group Functional Instruction Manual) and other regulatory requirements to be complied within RBWM in all aspects of strategy, sales process, product suitability, client correspondence, financial promotions and administration
  • Formulate and review sales flow and guidelines to strike a balance between sales efficiency and the compliance requirement of the Bank and regulatory authorities
  • Design, execute and review coaching plans and training materials on sales compliance and quality reinforcement for stakeholders among branch network through groups or one on one sessions
  • Give advice to stakeholders on pre-launch preparation for new products and implementation of new procedures
  • Elevate the professionalism of Branch Network and Wealth Management sales team to ensure that sales activities are at the required global standard
  • Contribute to the group creating and retaining market leading standards and controls



  • University degree or diploma in business related discipline
  • Minimum of 5 years’ banking experience, ideally with exposure to sales compliance in banking environment
  • Strong attentiveness to detail, compliance and control orientation
  • Good communication, presentation and interpersonal skills
  • Excellent analytical, project management and problem solving skills
  • Passes in the Hong Kong Securities Institute Licensing Examinations
  • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes


All information provided by applicants will be used only for recruitment purposes and will be used strictly in accordance with the Bank's personal data policies, a copy of which may be obtained by the applicant upon request. Unless otherwise instructed in writing by the applicant concerned, applicants may be considered for other suitable positions within the Bank and its related companies. The personal data of unsuccessful job applicants may be retained for a maximum of two years from the date when the job application is rejected and such data may be retained for a longer period if there is a subsisting reason that obliges the Bank to do so, after which the personal data will be destroyed.