VP - Compliance

Job Title: VP - Compliance
Contract Type: Permanent
Location: Hong Kong
Reference: 02_180219
Contact Name: Gina Hui
Contact Email:
Job Published: February 18, 2019 13:45

Job Description

This is a newly created role for a leading investment bank in Hong Kong. As a general compliance role, this person will be able to gain exposure to all areas of the compliance function.


  • Working with business lines and supporting operation teams to provide compliance and risk expertise.
  • Design and development of testing strategies and methodologies in accordance with relevant rules and regulations that the Group’s business lines are applicable to.
  • Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls.
  • Report findings and provide recommendations to business line and management.
  • Provide compliance expertise in identification of risks, assessing of controls and reporting on effectiveness of controls to ensure compliance with federal, state, and agency, legal, regulatory and policy requirements.


  • At least 6 years’ of relevant experience in the securities or investment banking industry
  • Hands on experience with operational risk systems/regulatory compliance/statutory auditing
  • Demonstrated understanding of regulatory compliance and/or operational risk management industry requirements and practices
  • Ability to multi-task between multiple and ongoing responsibilities and assignments
  • Strong sense of ownership and responsibility
  • Knowledge of products for SFC regulated activities (i.e. Type 1, 2, 4, 6, 9) and AML/CFT regulatory requirements

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