AVP/VP - Regulatory Compliance

Job Title: AVP/VP - Regulatory Compliance
Contract Type: Permanent
Location: Hong Kong
Reference: 1_130418
Contact Name: Gina Hui
Contact Email:
Job Published: April 13, 2018 16:11

Job Description

Our client, a regional financial institution is looking for a Compliance Manager to support its team within the Hong Kong hub

Job Descriptions:      

  • Review all policies and procedures to ensure them comply with the regulatory requirements
  • Interpret laws, rules and regulations for business and provide advisory support on compliance matters
  • Liaise with Head Office and regulators in relation to compliance matters
  • Support in preparation of training courses to all business units of the bank
  • Monitor, evaluate and conduct compliance assessment / review / survey
  • Provide compliance support on developing new products or services
  • Evaluate accounts documents (new and existing) and forms
  • Organize and coordinate Compliance Committee
  • Ad-hoc projects assigned by the supervisor


  • Bachelor’s degree or above in Law, Accounting or Company Secretary
  • 5-10 years of relevant work experience in corporate banking, private banking or private wealth management is a must
  • Knowledge of Banking Ordinance, SFO and the HKMA/SFC rules
  • Knowledge of private banking documentation and practices an advantage
  • Good interpersonal skills and problem-solving skills
  • Proficient in written and spoken English and Chinese (Mandarin & Cantonese)