Our client is a leading investment with who are looking to hire a Vice President of Compliance Controls based in Hong Kong. You will play a key role in the successful execution of the firms compliance agenda.
This role will take a lead in ensuring the development and maintenance of a strong compliance culture by developing and maintaining a program infrastructure that identifies measures and monitors adherence with applicable laws, regulations and rules that govern our business globally.
Act as central point of contact with regulators and handling a wide range of regulatory inquiries initiated by the Hong Kong Monetary Authority and Securities and Futures Commission, including critically evaluating data and materials provided by front to back office staff and liaising
Review and analyse banking and securities regulations affecting the operations in Hong Kong and collaborating closely with professionals across the different business divisions and functions to ensure that the Bank meets all the relevant requirements
Ensure that Control Group processes, including conflicts clearance, inside information assessments, wall crossings and updates to the watch and restricted list, are executed in an accurate and timely manner
Perform and coordinate RCSA assessment to meet requirements for the regulators and industry associations
Maintain and update compliance policies, processes and manuals
Provide guidance to team in implementing new products and initiatives
Update compliance monitoring plan and adopt best in class risk based approach to mitigate regulatory risk
University graduate in finance, accounting or business administration
6 to 10 years of relevant compliance experience with a sizable investment bank
Enthusiastic, self-motivated, effective under pressure, and flexible * Excellent organizational and time management skills
Knowledge of Compliance standards and best practices; experience in governance and oversight roles
Must be a self-starter, flexible, innovative and adaptive * Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Strong written and verbal communication and interpersonal skills
Excellent project management and organizational skills and capability to handle multiple projects at one time
Excellent written and verbal communication skills
Internal Number: 5431007
About Morgan McKinley Hong Kong
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