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Bauer Kaiser & Co. Ltd

Senior Risk and Compliance Manager - Leading Chinese Bank

Bauer Kaiser & Co. Ltd Hong Kong
Posted 5 days ago Hybrid Job Permanent Negotiable
E
Posted by
Edwin Tse
Director

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
     
Job ID  EFC-CH-RISK
ABOUT COMPANY
Hong Kong
Retail Banking
Looking for top-talent, Bauer Kaiser partners with Hong Kong’s leading banking institutions and multi-national corporations. Bauer Kaiser is a consul...
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