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VP/AVP, Compliance advisory - Investment Bank

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Stephanie Lui

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    4 months ago

  • Expiry date:


My client is a top tier Investment Bank in Hong Kong with business across Investment Banking(IPO, M&A etc), Asset Management and Strategic Investment. They are looking for a seasoned AVP/VP to join their  Compliance team.

Job Duties:
  • Contribute to monitoring and testing coverage plans for R&L and related metrics. Identify aggregate, report and escalate compliance risks, issues and control enhancements for FLU
  • Create and maintain laws, rules, regulations related to R&L in the regulatory inventory in APAC
  • Identify compliance training needs and inspect Front Line Unit for enterprise area of coverage
  • Identification of and participation in process improvement and manage regulatory change projects; working with lines of business and external partners on special projects.
  • Assist in creating and implementing additional processes to address regulatory changes and expectations
  • Minimum 5 years of work experience with a similar role
  • Relevant licensing work experience with HKMA or SFC preferred
  • Candidates with licensing and registration experience preferred.  Candidates with background in compliance, consulting, risk may also be considered
  • Good stakeholder engagement skill with solid business acumen and excellent understanding of licensing processes
  • Excellent written and verbal communication skills
  • Excellent organizational skills and team work
  • Strong attention to detail
  • Strong leadership skills with ability to manage processes in a matrix organization
  • Motivated self-starter who takes ownership and can produce high quality results with minimal direction


Please send your CV to or apply here.