Senior Vice President (SVP), Compliance - Foreign CIB
Location: Hong Kong
We are currently seeking a proficient and experienced Senior Vice President (VP) of Compliance to join our esteemed foreign Corporate and Investment Bank in Hong Kong. The ideal candidate will possess in-depth expertise in commercial banking compliance while also demonstrating exposure to structured product compliance and corporate finance compliance.
Key Responsibilities:
- Compliance Oversight: Provide strategic oversight and guidance on compliance matters pertaining to commercial banking operations, structured products, and corporate finance activities within the Hong Kong office.
- Regulatory Compliance: Ensure full compliance with regulatory requirements and guidelines set forth by governing bodies such as the Hong Kong Monetary Authority (HKMA) and other relevant regulatory authorities.
- Policy Development: Develop, review, and enhance compliance policies and procedures specific to commercial banking, structured products, and corporate finance to mitigate risks and ensure regulatory adherence.
- Risk Assessment: Conduct regular risk assessments to identify and address potential compliance risks associated with structured products, corporate finance, and commercial banking operations.
- Training and Awareness: Implement compliance training programs and awareness initiatives for staff involved in structured products, corporate finance, and commercial banking to enhance compliance culture across the organization.
- Investigations and Reporting: Lead compliance investigations as necessary and prepare comprehensive compliance reports for senior management and regulatory bodies in a timely manner.
- Stakeholder Management: Cultivate and maintain effective relationships with internal stakeholders, external partners, and regulatory authorities to foster a collaborative approach to compliance and regulatory matters.
Qualifications and Experience:
- Bachelor's degree in Law, Finance, Business Administration, or a related field.
- Minimum of 10+ years of relevant experience in compliance within the financial services sector, with a strong focus on commercial banking compliance and exposure to structured product and corporate finance compliance.
- Comprehensive knowledge of Hong Kong regulatory requirements and compliance standards.
- Proven track record in developing and implementing compliance policies and procedures.
- Exceptional communication, leadership, and stakeholder management skills.
- Professional certifications such as CAMS, CFE, or CRCM are desirable.
- Fluency in English; proficiency in Cantonese or Mandarin is a plus.
