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

Responsibilities

• Monitor and ensure regulatory compliance requirements related to: i) the operations of pension business (MPF and ORSO) or Unit Trusts;  ii) legislation changes and regularly update and review on internal policies, procedures and guidelines, and internal training materials; or
• To review significant complaints and breach incidents, MIS reports, forms, fund fact sheets and marketing materials to ensure compliance with the relevant requirements; or
• Communicate and coordinate comments and responses with relevant departments/sections on compliance matters and handle enquiries from regulators; or
• To make applications regarding any proposed amendments to the pension and funds documents and the appointment of new directors; or
• To assist in the review process of the investment management contracts, custodial agreements, investment portfolio to ensure they comply with the relevant regulatory requirements, investment policy, governing rules and / or deed; or
• Working with internal and external auditors or regulators to facilitate onsite inspection, compliance review or audit process; or
• Any other ah-hoc duties and tasks assigned by Supervisors

Requirements

• University graduate, preferably in business, banking, accounting, law, finance or related disciplines; 
• Minimum 3 years working experience, preferable in financial industry, regulators or audit or compliance or internal controls or risk management or frauds control fields cover the following:
  • Good understanding of any one or more of the relevant requirements of  MPF/ORSO, MPF Intermediary, unit trusts, funds management, data privacy, risk management or fraud control;
  • Able to understand the controls/ operations of pension/MPF/ORSO businesses or Unit Trusts is an advantage;
  • Experience in reviewing procedures and guidelines and able to understand legislation and regulatory requirements;
  • Good time management skill of meeting deadlines with different priorities;
  • Strong self-discipline and good communication and analytical skills;
  • Good team player with self-motivated, independent and good working attitude.
• Relevant knowledge and experience on handling SFC RA 13 or HKMA TB-1 would be a plus;
• Experience in dealing with Regulator (HKMA or SFC or MPFA) and knowledge in Conduct Guidelines and UT Code is an advantage;
• Excellent command of both spoken and written English and Chinese.