Vice President/Senior Vice President, Compliance

4 days ago

Hong Kong Island, Hong Kong SAR China CMBC Capital Holdings Limited Full time

Compliance Officer / Vice President, Compliance We are seeking a skilled, capable, experienced, and well‑rounded Compliance professional to lead the compliance review function in the Compliance team. This role reports directly into the Head of Compliance and will focus on compliance review, transaction monitoring, compliance reporting, general compliance advisory, and operational risk management. For candidates with less experience, this is a rare opportunity for the right candidate to develop into a well‑rounded Compliance officer. We are looking for a candidate who has good relevant experience in one or more of the areas mentioned above and is eager to expand their knowledge into other crucial areas of Compliance work. On‑the‑job training and guidance will be provided by the Head of Compliance. Key Responsibilities Plan, manage and conduct compliance review across multiple business units; perform risk assessments and ensure that the scope covers all significant risks; develop and present concise, high‑quality review reports with actionable recommendations; follow up and monitor the implementation progress of improvement/rectification actions. Responsible for or assist in transaction monitoring to minimize AML/CTF risks; investigate any suspicious transactions as necessary; file suspicious transaction reports as necessary. Conduct training for staff members to enhance knowledge and awareness of compliance and the relevant requirements and internal control policies. Draft, revise and maintain compliance policies. Provide advisory support and assistance to business units and other departments on compliance and operational risk related queries and issues. Assist in the preparation of regular departmental reports in Chinese. Responsible for or assist in operational risk management. Support incident reporting processes and ensure appropriate escalation. Work on any ad‑hoc projects assigned. Requirements Minimum of 7 years in compliance within the financial industry (minimum of 4 years for the Compliance Officer role). Proven experience engaging with regulators. Previous audit experience with Big Four accounting firms preferred. Previous experience with financial regulators is highly desirable. Degree in Finance, Accounting, Law; Compliance and AML certifications/qualifications (e.g. ICA, CAMS) are highly desirable. Very strong understanding of Hong Kong rules and regulations and industry practice. Sound judgement, strong interpersonal skills and cultural sensitivity, able to work independently with integrity. Strong knowledge of audit methodologies, risk and controls. Excellent verbal and written communication skills in English and Chinese (Mandarin). #J-18808-Ljbffr

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