Risk and Compliance Manager - BEA (Trustee) Limited

The Bank of East Asia (BEA); Hong Kong; Sur place; HKD 600 000 - 900 000; Plein temps

Résumé du poste

Bank of East Asia (Trustees) Limited (BEAT) seeks a compliant and proactive professional to monitor regulatory updates across BEAT operations, including AML/CFT, CRS/FATCA and unit trust funds. You will establish control procedures, perform quality assurance, and oversee oversight of funds service providers.

The role offers exposure to risk management and liaison with regulators. The ideal candidate has a graduate qualification in business or finance with 5+ years in financial services, audit,

Qualifications

• University graduate or professional qualification in business, banking, accounting, law, finance or related disciplines.
• Preferably over 5 years experience in financial industry, financial audit, compliance, internal controls, AML, risk management, frauds control or investment funds services.
• HKIB ECF qualification would be an advantage for applicants.

Responsabilités

• Monitor compliance matters and regulatory updates for BEAT operations including private trust, AML/CFT, CRS/FATCA, MPF/ORSO and unit trust funds.
• Establish and implement control and compliance procedures; perform regular quality assurance checks.
• Oversee compliance reviews of funds service providers, License Corporation and License Representatives under SFC RA13.
• Assist in risk management assessment and fraud controls of BEAT’s business functions.
• Review investigation results of non-compliance incidents and update policies accordingly.
• Coordinate with regulators, auditors and relevant departments on compliance, risk, frauds control and funds oversight.
• Provide risk and compliance advice on current and new regulatory requirements; prepare management information for senior management and regulators.

Connaissances

Time management

Analytical skills

Communication skills

Team player

Self-motivated

Independent

Regulatory awareness

Formation

Bachelor's degree or professional qualification in business/banking/finance/law

HKIB ECF qualification (advantage)

Description du poste

Bank of East Asia (Trustees) Limited ("BEAT") is a member of BEA Group. BEAT has been providing trustee services to large retirement schemes for over 40 years and it acts as trustee/custodian/administrator to Hong Kong authorised unit trusts. BEAT is well positioned to offer comprehensive and high quality MPF services.

Responsibilities

• Monitor the compliance matters, regulatory update related to the operations of the first line business units of BEAT’ s business, including private trust, AML/CFT, CRS/FATCA or MPF/ORSO or unit trust funds
• Establish and implement relevant control and compliance procedures in the oversight of unit trust funds and risk management, and perform regular quality assurance checking
• Monitoring and perform compliance oversight and compliance review of the performance of funds service providers, License Corporation and License Representatives under SFC license type RA13
• Risk management assessment and frauds control of BEAT’s business functions
• Review the investigation results of any non-compliance investment breach incidents, and review policies and procedures guidelines
• Communicate and coordinate with relevant departments, regulators and auditors on matters related to compliance or risk management or frauds control or funds oversight
• Provide risk and compliance advice in respect of existing and new regulatory requirements and to assess the potential impact
• Prepare and/or review management information reports to facilitate senior management oversight and provide requested information for regulators timely

Requirements

• University graduate / professional qualification, preferably in business, banking, accounting, law, finance or related disciplines
• Preferably over 5 years experience in financial industry or financial audit or compliance or internal controls or AML or risk management or frauds control or investment funds services
• Good time management skill of meeting deadlines with different priorities
• Strong self-discipline and communication and analytical skills
• Good team player with self-motivated, independent and good working attitude
• Relevant banking experience or qualifications in regulatory compliance/ risk management/ AML/CFT such as HKIB ECF would be an advantage

*Candidates with less experience will be considered for Assistant Manager position

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