Seasoned professional with background of Banking Regulator (Conduct supervision), Compliance advisory for Wealth Management, Bancassurance Management, and Branch Banking@ Dah Sing Bank
Hong Kong SAR
Herman Lo
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Lingnan University
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FlashIntel GPTHerman Lo is a highly experienced professional with 26.9 years of work experience in regulatory compliance, bancassurance, sales management, securities regulation, and retail banking. Based in Hong Kong, he specializes in internal controls, general compliance, conduct risk management, and central compliance functions. With a strong background in the banking industry, Herman has held various positions at Dah Sing Bank, including Compliance Project Lead and Head of People Development & Branch Management. He is a Full Member of the Treasury Markets Association and a Certified Banker.
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About
Specialties: (I) regulatory compliance and internal controls of retail banking and wealth management activities; (II) general compliance (e.g. Code of Banking Practice, data protection, account opening and consumer protection); (III) conduct risk management (staff misconduct and bank culture); and (IV) central compliance functions (e.g. Incident reporting, licensing and manager-in-charge regime, complaint handling) I am a Full Member of Treasury Markets Association, Certified Banker (AHKIB), Certified Financial Planner (CFPcm), FLMI...
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Seasoned professional with background of Banking Regulator (Conduct supervision), Compliance advisory for Wealth Management, Bancassurance Management, and Branch Banking
Compliance Project Lead
Head Of People Development | Branch Management | Retail Banking Division
Compliance Manager
Branch Manager | Retail Banking Division
Banking
Herman Lo's Professional Milestones
- Compliance Manager, Group Legal And Compliance Division (2011-03-01~2012-06-01): Implementing robust compliance measures to ensure adherence to regulatory requirements and mitigate risk.
- Branch Manager | Retail Banking Division (2009-01-01~2011-03-01): Successfully scaled various retail banking operations, maximizing profitability and reducing costs.
Education
Business Administration,
Bachelors,
Bachelor Of Business Administration
1996-1998Skill
Regulatory Compliance
Bancassurance
Sales Management
Securities Regulation
Retail Banking
Branch Banking
Life Insurance
Financial Planning
Operational Risk Management
People Management
Certification
Colleagues
Other Named Herman Lo
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Herman Lo works for Dah Sing Bank
Herman Lo's role in Dah Sing Bank is Seasoned professional with background of Banking Regulator (Conduct supervision), Compliance advisory for Wealth Management, Bancassurance Management, and Branch Banking
Herman Lo works in the industry of Banking
Herman Lo's colleagues are Cindy Chung,Jack LI,Charles Ren
Herman Lo's latest job experience is Seasoned professional with background of Banking Regulator (Conduct supervision), Compliance advisory for Wealth Management, Bancassurance Management, and Branch Banking at Dah Sing Bank
Herman Lo's latest education in Lingnan University
