VP- Compliance Assurance

Location Hong Kong
Job-type Full Time
Salary Negotiable
Contact Selene Ma
Email email Selene
Reference AIYL-165025_1641273213

Our client, an esteemed Regional Corporate Bank, is looking for a VP- Compliance Assurance to lead a team to establish and maintain an effective and risk- based compliance monitoring framework. The potential candidate will act as an independent guardian by planning and conducting effective, objective, risk-based compliance assurance and monitoring activities.


  • 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


  • University graduated in Finance, Business Administration or relevant disciplines; CPA is preferrable.
  • Minimum 10 years' experience in compliance and/or internal audit on compliance function gained from international bank environment
  • 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
  • Fluency in written and spoken English and Chinese