SVP, Regulatory Compliance - Commercial Banking

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: SVPRCCB/NR100322
Posted: 4 months ago

Job description


  • To provide compliance oversight, challenges and support to those functional units e.g. IT/Operation, HR, Risk and Finance (internal stakeholders).

  • To provide support to BU and/or SU in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements

  • To provide good quality and timely dissemination of regulatory requirements, guidelines and circulars to BU and SU within the Bank’s regulatory dissemination framework

  • To maintain internal control systems for meeting regulatory obligations, e.g. Obligation Register to record circular and regulation and to keep track of the status on the due dates of regulatory submission

  • To be the primary contact with the regulators and be responsible for delivering proactive and consistent management of regulatory expectation and relationships towards the Bank

  • To supervise and advise on regular submissions/ad-hoc surveys, regulatory information request/enquiries/onsite inspection and liaise with regulators and coordinate appropriate responses to their queries

  • To maintain effective regulatory engagement and full oversight of regulatory developments

  • To handle and manage the outsourcing applications or notifications to regulators

  • To handle and file the incident and breached reports to the regulators according to the regulatory requirements

  • To advise and/or supervise the subordinates to give advice to BU and SU on data privacy matters

  • To deliver and facilitate relevant trainings to staff members

  • To represent Compliance to attend working groups and committees as required

  • To provide compliance oversight and support to overseas branches

  • To provide coaching & training to subordinates

  • To take up other assignments from time to time assigned by the GM & Head of Legal & Compliance


  • Good knowledge in banking laws, operations, products and services

  • Expertise in compliance regulations and practices and have good understanding on regulators’ expectation

  • Well-versed with the market trend and situation regarding compliance locally and worldwide (as applicable)

  • Degree holder in Law, Accounting or related disciplines

  • Minimum 12 years legal, general audit or compliance experience including at least 3 years’ management experience in legal / compliance area in a sizable financial institution and/or regulatory bodies.


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