VP Compliance

1 month ago

Hong Kong, Hong Kong SAR China eFinancialCareers Full time

Vice President (VP), Compliance - Foreign Corporate Bank

Location: Hong Kong

We are currently seeking a proficient and experienced Vice President (VP) of Compliance to join our esteemed foreign corporate bank in Hong Kong. The ideal candidate will possess in-depth expertise in commercial banking compliance while also demonstrating exposure to structured product compliance and corporate finance compliance.

Key Responsibilities:

  1. Compliance Oversight: Provide strategic oversight and guidance on compliance matters pertaining to commercial banking operations, structured products, and corporate finance activities within the Hong Kong office.

  2. Regulatory Compliance: Ensure full compliance with regulatory requirements and guidelines set forth by governing bodies such as the Hong Kong Monetary Authority (HKMA) and other relevant regulatory authorities.

  3. Policy Development: Develop, review, and enhance compliance policies and procedures specific to commercial banking, structured products, and corporate finance to mitigate risks and ensure regulatory adherence.

  4. Risk Assessment: Conduct regular risk assessments to identify and address potential compliance risks associated with structured products, corporate finance, and commercial banking operations.

  5. Training and Awareness: Implement compliance training programs and awareness initiatives for staff involved in structured products, corporate finance, and commercial banking to enhance compliance culture across the organization.

  6. Investigations and Reporting: Lead compliance investigations as necessary and prepare comprehensive compliance reports for senior management and regulatory bodies in a timely manner.

  7. Stakeholder Management: Cultivate and maintain effective relationships with internal stakeholders, external partners, and regulatory authorities to foster a collaborative approach to compliance and regulatory matters.

Qualifications and Experience:

  • Bachelor's degree in Law, Finance, Business Administration, or a related field. Advanced degree (e.g., JD, MBA) is advantageous.
  • Minimum of 8-10 years of relevant experience in compliance within the financial services sector, with a strong focus on commercial banking compliance and exposure to structured product and corporate finance compliance.
  • Comprehensive knowledge of Hong Kong regulatory requirements and compliance standards.
  • Proven track record in developing and implementing compliance policies and procedures.
  • Exceptional communication, leadership, and stakeholder management skills.
  • Professional certifications such as CAMS, CFE, or CRCM are desirable.
  • Fluency in English; proficiency in Cantonese or Mandarin is a plus.

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