Corporate Banking Compliance Advisory - Team head

Job Title: Corporate Banking Compliance Advisory - Team head
Contract Type: Permanent
Location: Quarry Bay, Eastern District
Salary: Negotiable
Reference: 47071_1625556790
Contact Name: Jessie Chan
Contact Email:
Job Published: July 06, 2021 15:33

Job Description

About Our Client

Our client is a stable and growing bank, reporting into the Head of Legal and Compliance, you will lead a team of 3.

About The Role

  • Provide compliance advisory services to wholesale banking and treasury markets
  • Keep senior management informed on any relevant regulatory changes on general banking compliance
  • Establish compliance monitoring program on the Bank's various activities
  • Review the current compliance controls of the Bank and identify proper actions for improvement if necessary
  • Undertake investigations into any suspicious transactions or complaints reported by both internal and external customers
  • Enforce the General Compliance Manual of the Bank and provide advisory and necessary assistance to staff
  • Ensure compliance awareness among staff by providing them with relevant information, publications and training on compliance matters in the assigned portfolios
  • Coordinate and manage the ad hoc examination, surveys and enquiries conducted by regulator, external auditor or internal auditor on general banking matters, ensure regular tracking and timely follow up on all outstanding regulatory issues or findings
  • Provide compliance training to the firm


  • Degree holder preferably in Law, Accounting or related disciplines
  • Around 12 years' experience in legal, general audit, or compliance with at least 3 years in supervisory role gained in sizable financial institution or regulatory bodies
  • Good understanding in banking laws, operations, products and services
  • Familiarity with the ever expanding regulatory requirements
  • Able to communicate effectively at all levels
  • Proficient in both spoken and written English and Chinese

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.