My client is a dynamic and expanding foreign bank with a strong footprint in Corporate, Investment, and Private Banking. They are now seeking an experienced Vice President of Compliance to lead regulatory efforts for their Corporate and Private Banking divisions. This role is critical in ensuring robust compliance with regulatory standards while supporting business growth through strategic guidance.
Job Duties:
- Mentor and develop junior compliance team members to build a strong, regulation-focused team.
- Assess and ensure investment suitability, aligning products and services with client needs and regulatory requirements.
- Lead periodic compliance audits and reviews to identify and mitigate potential risks effectively.
- Monitor trade surveillance and communications to ensure full compliance with regulatory standards.
- Provide strategic, business-aligned compliance advice to senior management and business units.
- Update and maintain internal policies, procedures, and manuals to uphold a robust compliance framework.
- Track and implement HKMA and SFC regulatory updates, coordinating with relevant teams for timely compliance.
- Partner with leadership to design and execute a comprehensive annual compliance strategy, including training programs.
- Resolve complex compliance challenges with pragmatic, business-oriented solutions.
- Manage ad-hoc compliance initiatives and special projects as assigned.
Job Requirements:
- Bachelors degree in Finance, Law, Business Administration, or a related field.
- 8+ years of related compliance experience in Corporate AND Private Banking;
- Deep knowledge of investment suitability, trade surveillance, and general compliance practices.
- Strong understanding of HKMA and SFC regulations, with proven ability to interact with regulators.
- Exceptional communication and interpersonal skills to influence and build trusted relationships with stakeholders.
- Fluency in written and spoken English and Chinese (Cantonese)
If you're interested to explore this opportunity, please apply directly now or send your CV to kuanyu.shen@interfillgroup.com.