Risk and Compliance Manager - Bank of East Asia (Trustees) Limited

Responsibilities

• Monitor the compliance matters related to the operations of trust business
• Monitor and regularly update and review AML/CFT or CRS/FATCA internal policies, procedures, guidelines and process
• Establish and implement relevant control and compliance procedures in AML/CFT or risk management or frauds control or AEOI/CRS/FATCA
• Perform quality assurance checking to ensure compliance, covering the transaction monitoring, name screening and periodic review for the pension scheme and/or trust
• Communicate and coordinate with relevant departments on AML/CFT compliance or risk management or frauds control related tasks
• Provide risk and compliance advice in respect of existing and new regulatory requirements and to assess the potential impact
• Handle enquiries from regulators and internal parties on any specific areas related to compliance/ risk/frauds/ CRS/FATCA matters
• Prepare and/or review management reports to facilitate senior management oversight and provide requested information for regulators timely
• Working with internal and external auditors or regulators to facilitate onsite inspection or audit process
• Lead and supervise a team with subordinates to effectively discharge their assignments, including regular return/reports review and ad-hoc projects/tasks.

Requirements

• University graduate / professional qualification, preferably in business, banking, accounting, law, finance or related disciplines
• Minimum of 5 years experience in financial industry or audit or compliance or internal controls or AML or risk management or frauds control field cover the following:
• At least 3-5 years in supervisory level;
• Good understanding of any one or more of the relevant requirements of KYC/CDD, AML/CFT, AEOI/CRS/FATCA, MPF/ORSO, unit trusts, data privacy, risk management or fraud control;
• Able to understand the controls/ operations of pension/MPF/ORSO and/or trust businesses
• 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 regulatory compliance qualification such as HKIB qualification on AML/CFT would be an advantage
• Relevant knowledge and experience on handling SFC RA 13 or HKMA TB-1 would be a plus
• Relevant HKIB qualification would be an advantage
• Excellent command of both spoken and written English and Chinese

 (Candidate with less relevant experience, skill and knowledge would be considered as Assistant Manager)