Risk and Compliance Manager

2 months ago

Hong Kong, Hong Kong SAR China The Bank of East Asia Full time

 

 

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)


Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Information Collection (Employees) Statement and Privacy Policy Statement. 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

 

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