Senior Risk and Compliance Manager - Hong Kong, 香港 - Bauer Kaiser & Co. Ltd

描述

Responsibilities:

• Plan, organize, lead and control the activities of Risk & Compliance Section
• Ensure that the operations of pension and trust businesses comply with the applicable legislation, rules and guidelines issued by the regulatory authorities
• Ensure that the investment holdings of each fund / trust are consistent with the investment objective, policy and / or trust deed
• Ensure that prior approval from the relevant regulator are obtained regarding any proposed amendments to the pension and trust documentation, and the appointment of new directors
• Ensure that the investment management contracts and custodial agreements to be entered into comply with the relevant regulatory requirements
• Ensure that the trust assets are not improperly encumbered and shall be dealt with as trust property separately
• Report to the relevant regulators, the Central Compliance Department and/ or the Anti-Money Laundering Compliance Department of the Bank on any events of significant nature
• Monitor the rectification action taken for rectifying any breach
• Check that if any service providers wants to delegate its duties, the delegatee meets the requirements stipulated by the relevant legislation
• Co-ordinate with other Section Heads in preparing the monthly risk report, reviewing the Terms of Reference of Risk Management Committee and Risk of Profile for the business units

Requirements:

• University graduate / professional qualification, preferably in business, accounting, law, finance or related disciplines
• Preferable over 8 years experience in audit or compliance field
• At least 5 years in supervisory level or people management experience
• Strong technical knowledge of the operations of pension and trust businesses
• Good understanding of relevant regulatory requirements including but not limited to pension and trust, AML, CRS and FATCA