Risk and Compliance Manager - BEA (Trustee) Limited

The Bank of East Asia (BEA) · Hong Kong

Job Description

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

The Bank of East Asia (BEA)

Hong Kong

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Risk and Compliance Manager - BEA (Trustee) Limited

Job Description

The Bank of East Asia (BEA)

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