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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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