VP, Compliance Assurance – Corporate Banking

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: VPCACB/NR141222
Posted: over 1 year ago

Job description

Job Duties & Responsibilities:

  • Ensure compliance monitoring and testing activities are in conformity with the regional regulatory requirements.

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

  • 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.

  • Devise and update an effective compliance self-review programs to identify key areas through an effective risk assessment and conducting a risk-based monitoring activity.

  • Exercise judgement on reasonableness of the scope of reviews and organize work schedule to ensure effective use of resources.

  • Assess whether the applicable regulatory requirements are embedded into the Bank’s policies and procedures and complied with effectively.

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

  • Assist in various ad-hoc compliance related tasks.

  • Carry out any other duties as instructed by the supervisor or management of the Bank.



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

  • 7 years plus relevant experience in compliance and/or banking 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,


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