VP Compliance Assurance

Posted 12 December 2021
LocationHong Kong
Job type Permanent
DisciplineChief Operating Officer & Governance

Job Description

  • Internal Audit profiles with banking experience welcome
  • Team lead role with good career progression
  • Stable and well established team

Our client is one of the largest bank in the world by total assets and operates in over 40 countries as a trusted brand name.

To cope with expansion, there is an exciting opportunity for high calibre candidate to be part of the Compliance team.


Key Responsibilities

  • Supervise and manage the Compliance Assurance Team to ensure they perform the monitoring and self-reviews effectively and efficiently
  • Devising and updating an effective compliance self-reviews program to identify key risk areas through an effective risk assessment and conducting a risk-based monitoring activity
  • Exercise judgement on the reasonableness of the scope of reviews and organize work schedule to ensure effective use of resources
  • Manage objective compliance reviews and monitoring activities, involving self-reviews on Compliance and AML, through liaison with business stakeholders, a variety of fieldwork approaches, the production of quality deliverables for assurance and review work undertaken
  • Assess whether the applicable regulatory requirements are embedded into the Bank’s policies and procedures and complied with effectively
  • Foster close co-operation between and develop excellent working relationships with various Risk and Compliance stakeholders, including Regulatory Compliance, Internal Audit, Business and Head Office
  • Keep abreast of changes in relevant laws and regulations to the Bank, industry best practice, and changes to business activities and products, through self-managed learning and relationship with Legal & Compliance Department colleagues and business networks
  • Review regular and ad hoc reports to the line manager, Branch management and Head Office
  • Manage various ad-hoc projects, initiatives and duties as assigned

Key Requirements

  • Degree holder or above in Law, Finance or related studies. Qualified auditor is a plus
  • Min 10 years’ relevant experience in compliance and/or banking audit, prior team leading experience is preferred. Candidates from Big 4 professional firms welcome to apply
  • Sound knowledge of laws and regulations applicable in banking industry
  • Good understanding of corporate banking operations and products is a plus
  • Good interpersonal skills and leadership
  • A team player with good communication, interpersonal and presentation skills
  • Able to meet tight deadlines and work under pressure
  • Good command of spoken and written English & Chinese


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