AVP, Compliance Assurance – Corporate Banking

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: AVPCACB/NR210122
Posted: over 1 year ago

Job description

Job Duties & Responsibilities:

  • Conduct effective, objective, risk-based compliance monitoring activities pursuant to the annual Compliance Monitoring Plan.

  • Identify potential or actual regulatory risks arising from the results of compliance monitoring and proposing recommendations to the relevant stakeholders in order to mitigate the identified risks.

  • Review and assess the adequacy and effectiveness of the Bank’s compliance risk control framework during the review. Identify key deficiencies, assess the implications, and provide recommendations to the relevant stakeholders on mitigating actions.

  • Follow up on the timeliness and effectiveness of the implementation of agreed mitigating actions as a result of the compliance monitoring activities. Upon request, follow up on the management actions arising from Internal Audit reviews or regulatory examinations, where appropriate.

  • Prepare regular and ad hoc reports for the Manager and CCO to review for submission to Branch management, Regional and Head Office.

  • Assist in ad hoc compliance related review or investigation / carry out any other duties as instructed by the Manager or the CCO.

  • Escalate key issues, including matters with regulatory concerns to the Manager and the CCO on a timely basis.



  • University graduate, preferably with professional qualifications e.g. CPA

  • 5 years’ relevant experience in legal and compliance, operational risk management, risk controls function and/or internal audit, etc.

  • Sound knowledge in laws and regulations applicable for banking industry

  • Good team player with strong interpersonal skills

  • Good command of written and spoken English & Chinese

  • Independent, self-motivated and able to work under pressure


If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, Web:


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Image 2022 02 26 T04 57 33