SVP, Regulatory Specialist, Corporate and Investment Bank

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: SVPRS/NR130522
Posted: 10 months ago

Job description

About the job

Being the regulatory subject matter expert (“SME”) on Corporate & Investment Banking (“CIB”) products and transactions, the incumbent will be the project manager to provide strategic advisory from legal and regulatory requirement perspectives, in order to facilitate the execution of the CIB business initiatives.


Duties & Responsibilities:

  • Lead project management for new business initiatives on banking and securities CIB products’ initiatives by liaising with relevant internal and external stakeholders to achieve the desired organizational-level outcomes in a timely and efficient manner

  • Act as the SME in providing advice from a regulatory legal and compliance perspective with consideration to the bank’s governance and operating needs; and contribute to contextual mid-long term strategic planning regarding the regulatory compliance and internal governance dimensions of CIB projects

  • Lead the review and refinement of relevant internal Policy & Procedures, Product Due Diligence and Key Fact Statement for derivative products

  • Oversee the coordination of middle and back office enhancements in relation to the global CIB initiatives to drive synergies between our bank and securities’ legal entities in HK

  • Be a key contributor in providing directions to the bank’s local regulatory engagement related matters



  • Degree holder in Finance and Legal related disciplines is required with a minimum of 15 years’ relevant experience in the legal, compliance, and/ or business management functions of international banks or securities houses

  • Deep knowledge and understanding of relevant banking and securities laws; CIB products related (e.g. derivatives, securities) regulatory requirements, and market practice in HK

  • Proven track record of effective collaboration with and expectation management among diverse stakeholders within the international organizations

  • Experience in both banking sector and regulatory bodies/ banking & FI legal advisory is desirable

  • People oriented and a good team player with strong communication, interpersonal and presentation skills

  • Self-motivated with good analytical skills, and able to work under pressure with tight deadlines

  • Well versed in spoken and written English and Chinese


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