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VP / SVP Compliance Advisory

  • Excellent Career Progression
  • Corporate Banking, Investment Bank & Capital Markets Focus
  • Strong Corporate Risk & Compliance Culture

Our client is an expanding international Banking group with businesses in Corporate Banking, Investment Banking and Capital Markets. A fantastic opportunity has arisen for a talented and motivated Compliance professional to join the regional compliance team based in Hong Kong.

The key responsibilities for this position are as follows:

  • Provide advice to the banking front office staff on a variety of deals and business activities which includes merger & acquisitions, capital markets & financing, real assets & global trades, credit markets & global structured credit solutions, taking into consideration regulatory and reputational risks to ensure compliance with regulatory requirements.
  • Respond to requests for guidance on compliance issues and assist with the identification and remediation of compliance risk in the banking business.
  • Participate in the validation process for new products, processes, and activities.
  • Ensure close coordination with Head Office Compliance team and provide insights from regional perspective where required.
  • Ensure banking policies, procedures and guidelines are up to date.
  • Provide timely and accurate responses to regulatory enquiries, investigations, and inspections.
  • Conduct staff training across the business.
  • Support Control Room functions and processes as required including management of conflict of interests, information barrier and wall crossing.
  • Create a culture of effective compliance that is embedded throughout the business and ensure adherence to internal policies and procedures.

Successful applicants will have the following skills and experience:

  • Degree qualified with at least 8 years of compliance experience gained in a leading international bank.
  • Strong understanding of banking regulations across APAC, specifically Hong Kong.
  • Control Room experience is ideal but not essential.
  • Hands-on with ability to work in a fast-paced, cross-functions and cross-locations environment.
  • Strong presentation skill with the ability to present information in a clear and concise manner.
  • Excellent communication skills with fluency in English.

Information provided is for recruitment purposes only.

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