Risk and Compliance Manager - BEA (Trustee) Limited

Position Summary

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

Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Data Policy, which is available upon request. Applicants who are not invited for interviews within six weeks may consider their applications unsuccessful and the personal data collected will be destroyed after 1 year.