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

Together, we can achieve more

The Bank of East Asia, Limited ("BEA") is Hong Kong’s largest independent local bank with 48 branches, 42 SupremeGold Centres, and 3 i-Financial Centres throughout the city.

Overseas, BEA has established a presence in Southeast Asia, the United Kingdom, and the United States. Worldwide, including Hong Kong and the rest of Greater China, BEA operates around 130 outlets and employs approximately 8,000 people. We invite you to become part of our team and to pursue a bright and exciting future.

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.

Please apply online via the BEA Careers website at https://careers.hkbea.com/psp/hcmprd/EMPLOYEE/HRMS/c/HRS_HRAM.HRS_APP_SCHJOB.GBL?Page=HRS_APP_JBPST&Action=U&FOCUS=Applicant&SiteId=1&JobOpeningId=4968&PostingSeq=1 or by clicking the "Apply Now" button. Kindly note that if you are a new user, you have to first create your User Profile before you can apply.

Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Data Policy, which is available upon request. 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.