Sr Manager, AVP, VP, Compliance Review

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: SRCR/NR081122
Posted: 11 months ago

Job description


  • Conduct risk-based compliance reviews according to the Annual Compliance Review Plan.

  • Identify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement.

  • Compile compliance review reports to highlight major regulatory compliance issues and risk implications.

  • Conduct assigned special / ad-hoc reviews.

  • Coordinate regulatory onsite and offsite examinations conducted by the regulators.

  • Follow up management actions / rectification actions to resolve findings identified in compliance reviews and, where required, examinations undertaken by the regulators.

  • To assist Head of Compliance Review to formulate and update compliance review related policies, programs and control procedures in accordance with regulatory rules and requirements.

  • Review and monitor staff personal account dealing.


  • 6 years or above relevant experience

  • Understand relevant policies and procedures of the Bank as well as regulatory requirements

  • University degree business, finance, accounting or related discipline

  • Minimum 5 years in audit / compliance / compliance review experience in Big 4 or in banking / financial services industry

  • Proficiency in both English and Chinese, fluency in Mandarin is an advantage.

  • Independent, positive working attitude, willing 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