AVP- Compliance Assurance - Legal & Compliance

Location Hong Kong
Job-type Full Time
Salary Negotiable
Contact Selene Ma
Email email Selene
Reference AIER-864025_1654746208

Our client, an esteemed Regional Corporate Bank, is looking for Compliance Assurance AVP to work in Legal & Compliance team.

Job Duties & Responsibilities:

  • Conduct risk-based compliance monitoring activities according to the Annual Compliance Monitoring Plan and upon ad hoc request by the Manager, Local Compliance Officer (LCO) or Chief Compliance Officer East Asia ex China (CCO).
  • Identify regulatory risks arising from compliance monitoring and providing recommendations to the relevant stakeholders to reduce or avoid identified risks.
  • Review and assess effectiveness of the Compliance Risk Control Framework.
  • Identify key deficiencies, assess the implications, and provide recommendations to the relevant stakeholders on mitigating actions.
  • Follow up on the agreed mitigating actions implementation because of the compliance monitoring activities.
  • Upon request, follow up on management actions arising from Internal Audit reviews or regulatory examinations, when needed.
  • Prepare regular and ad hoc reports for Manager and CCO to review and submit to Branch management, Regional and Head Office.
  • Assist in ad hoc compliance related review or investigation / carry out any other duties as instructed by the Manager or the CCO.


  • University graduate, preferably with CPA qualification
  • 5 years' relevant experience in Legal and Compliance/ Operational Risk Management/ Risk Control's Function/ Internal 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

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