Assistant Vice President

We are seeking an Assistant Vice President in Central Compliance to cover employee compliance, FCC, Compliance projects, governance, and regulatory engagement.

Responsibilities:

• Employee Compliance:
• Support implementation of the Group’s Employee Compliance program and associated controls, including Anti-Bribery & Anti-Corruption, Conflicts of Interest, and Whistleblowing.
• Work with HR / Employment Law Legal on the escalation and management of policy breaches.
• Provide Compliance training and advice in relation to Group Compliance’s policies.

• Financial Crime Compliance:
• Support the enhancement and implementation of the Group’s financial crime prevention program, including risk assessment, policies, control framework, and training.
• Provide advice to business on financial crime-related matters.

• Compliance Projects:
• Lead group-wide projects, compliance projects, including and not limited to, new / refreshed compliance policies implementation, Group Compliance Division’s processes enhancement, automation, and digitization.

• Governance and Regulatory Engagement:
• Assist the enhancement and implementation of Compliance Risk Appetite metrics, and key indicators.
• Assist compliance reporting to management / board committees.
• Liaison with regulatory bodies, manage relationships with agencies, and manage information requests.

Requirements:

• Bachelor degree or equivalent in Law, Accounting, Finance, or related discipline.
• Knowledge and hands-on experiences of compliance frameworks, policies, processes, and controls.
• A minimum of 10 years of proven experience in regulatory compliance gained from working for a financial institution, a regulatory authority, a Government agency, or a law firm, of which at least 10 years at a management level.
• Excellent oral, written communication, and presentation skills.
• Strong analytical skills and inter-personal skills; ability to work with stakeholders at different levels.
• A collaborative team player with the ability to work independently and embrace new challenges.
• Demonstrates flexibility and a growth mindset, with a commitment to continuous learning and development.
• Fluent in English and Chinese.