Assistant Risk and Compliance Manager
2 days ago
Assistant Risk and Compliance Manager (Regulatory Compliance) 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. Review significant complaints and breach incidents, MIS reports, forms, fund fact sheets and marketing materials to ensure compliance with the relevant requirements. Communicate and coordinate comments and responses with relevant departments/sections on compliance matters and handle enquiries from regulators. Make applications regarding any proposed amendments to the pension and funds documents and the appointment of new directors. 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. Working with internal and external auditors or regulators to facilitate onsite inspection, compliance review or audit process. 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 fraud control fields covering 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. #J-18808-Ljbffr
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Manager, Operational and Technology Risk
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Hong Kong Island, Hong Kong SAR China The Bank of East Asia, Limited Full timeA leading financial institution in Hong Kong seeks an Assistant Risk and Compliance Manager to ensure compliance with regulatory standards related to pension business and unit trusts. The ideal candidate will have at least 3 years of experience in the financial sector and possess a university degree. This role requires excellent analytical and communication...
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