VP, Compliance Assurance – Corporate Banking

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: VPCACB/NR151221
Posted: 8 months ago

Job description

Report to Chief Compliance Officer, the incumbent will lead a small team to establish and maintain an effective and risk-based compliance monitoring framework to identify potential or actual compliance and regulatory risks and propose recommendations in order to protect and enhance the reputation of the Bank and to avoid significant financial loss to the Bank. He/she will act as an independent guardian by planning and conducting effective, objective, risk-based compliance assurance and monitoring activities.


Job Duties & Responsibilities:

  • Conduct compliance self-reviews and monitoring in accordance with the annual Compliance Action Plan and upon request by the management, including:

    • 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

  • Supervise and manage the Compliance Assurance Team to ensure they perform the monitoring and self-reviews effectively and efficiently

  • 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



  • Degree holder or above in related disciplines, a qualified auditor is an advantage

  • Minimum 10 years’ relevant experience in compliance and/or banking audit, prior team leading experience is preferred

  • Sound knowledge of laws and regulations applicable in banking industry

  • 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


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


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Image 2022 02 26 T04 57 33