Deputy Chief Compliance Officer (Financial services)

Job Title: Deputy Chief Compliance Officer (Financial services)
Contract Type: Permanent
Location: Hong Kong
Salary: HKD
Reference: NL/HK/DCCOFS
Contact Name: Nick Lambe
Contact Email:
Job Published: October 12, 2019 11:15

Job Description


  • Competitive salary package
  • Fast-growing financial institution
  • Excellent working environment with a dynamic team!
A leading financial services company in Asia Pacific is looking for a Deputy Chief Compliance Officer who will be responsible for monitoring of business operations for compliance with regulatory and policy requirements, and enhancing compliance excellence with integrity and fairness, through troubleshooting, corrective plans, evaluation and education.

Key Responsibilities

  • Conduct evaluation of company’s practices and operations in order to assess adherence to policies and regulations
  • Troubleshoot and develop corrective action plans or risk mitigation strategies and manage the implementation
  • Develop, review and update company policies to support compliance
  • Stay up to date with the regulations through bulletins, trade journals and news publications
  • Educate and develop team members and other stakeholders for better understanding of regulatory requirements, compliance policies and ethical conduct
  • Maintain a balance of impartiality and fairness while promoting compliance excellence
  • Evaluate and report to the Chief Compliance Officer, top management and other staff


Key Requirements

  • Bachelor’s Degree in Law or Business (accounting, finance, management)
  • Minimum 8 years of experience in the Compliance department of a financial institution
  • Knowledge of regulatory and legislative policy and procedures for the financial sector
  • Experience in managing regulatory surveys and inspections
  • Strong quantitative analysis skills
  • Proactive and goal-orientated
  • Experience working with regulators in the APAC regions is a plus

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