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