Vice President/Senior Vice President, Compliance

Compliance Officer / Vice President, Compliance Job title : Compliance Officer / Vice President, Compliance For the Vice President role , 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 the following main areas: compliance review, transaction monitoring, compliance reporting, general compliance advisory and operation risk management. For candidates who have less experience , this is a rare and extraordinary opportunity for the right candidate who has an aspiration to develop into a well‑rounded Compliance officer. We are looking for a candidate who has good and relevant experience working in the areas mentioned above, but is eager to expand his/her experience and knowledge to develop his/her skills in 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 of review covers all significant risks; develop and present concise, quality review reports with practical, effective and 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 to 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 ensuring appropriate escalation. Work on any ad‑hoc projects assigned. Requirements Minimum of 7 years in compliance in the financial industry (minimum of 4 years for Compliance Officer role). Proven experience in engagement with regulators. Previous audit experience with Big‑Four accounting firms preferred. Previous experience with financial regulators is highly desirable. Degree in Finance, Accounting and 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). Company Overview CMBC Capital Holdings Limited, a subsidiary of China Minsheng Bank, is listed on the Hong Kong Stock Exchange (stock code: 1141.HK) and is licensed for Type 1, 4, 6, and 9 regulated activities. The company offers a comprehensive range of financial services, including Hong Kong IPO sponsoring and underwriting, mergers and acquisitions, financial advisory, overseas bond issuance, margin financing, asset and wealth management, direct investment and structured financing. #J-18808-Ljbffr