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ED, Compliance Advisory

• Broad Product Focus
• Leading Financial Institution
• Strong Corporate Culture

Our client is a global financial institution with a strong history across Asia. Working with a wide range of clients, they offer a diverse selection of products and services across Corporate Banking, Investment Banking and Capital Markets. The Group is committed to being a market leader in compliance, governance and risk management structure/framework in the banking industry. The Group is seeking a high-calibre Compliance professional to join the regional Compliance team based in Hong Kong.

The key responsibilities for this position are as follows:

• Provide advice to front office staff on transactions, business activities and regulatory policy.
• Ensure adherence to internal policies and procedures in relation to activities.
• Assess whether specific conduct or activities comply with applicable laws, regulations, market standards and internal policies and procedures.
• Participate in validation process for new products.
• Prepare and conduct staff training for the business.
• Ensure close coordination with Head Office Compliance team and provide insights from regional perspective where required.
• Participate in ad hoc Compliance projects across the Asia region.
• Ensure banking policies, procedures and guidelines are up to date.
• 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 12 years of Compliance experience gained in a leading international bank.
• Strong understanding of banking regulations across Asia, specifically Hong Kong.
• Control Room experience is ideal but not essential.
• Proactive attitude with the ability to work under pressure.
• Outstanding interpersonal and communication skills.
• Able to demonstrate strong leadership experience.
• Excellent communication skills with fluency in English.

Information provided is for recruitment purposes only.

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