Regulatory Compliance, SVP

An international financial institution is seeking a compliance professional to join its Hong Kong branch, reporting directly to the Head of Compliance. This pivotal role offers you the opportunity to shape and oversee all non-AML/CTF regulatory and compliance matters, ensuring alignment with both global and local standards.

What you'll do:

As an SVP you will play an essential role in safeguarding the integrity of the organisation’s operations in Hong Kong. Your day-to-day responsibilities will centre around providing expert advice on regulatory matters while building strong connections with both internal teams and external regulators. You will be instrumental in developing compliance programmes tailored to evolving risks and requirements. By delivering targeted training sessions for staff at all levels—and regularly updating policies—you will help create an environment where everyone understands their responsibilities. Your ability to track progress on compliance initiatives ensures that recommendations from auditors or regulators are implemented effectively. Through your supportive approach to managing the Compliance Team, you will nurture talent while driving continuous improvement across all aspects of compliance.

• Provide comprehensive regulatory and compliance advice and support to management as well as business stakeholders, ensuring clarity and accuracy in all communications.
• Monitor developments in laws, regulations, and rules relevant to banking operations; interpret their impacts on branch activities and deliver timely guidance to senior management.
• Establish and maintain effective working relationships with local regulators such as HKMA and SFC, including direct communication regarding regulatory matters and coordination across departments to fulfil supervisory requirements.
• Develop, promulgate, and implement an annual compliance programme based on thorough risk assessments and both local and corporate initiatives.
• Regularly review, update, and implement group-wide and local compliance policies, procedures, and guidelines to ensure full alignment with regulatory requirements.
• Design, manage, and deliver compliance training programmes for all employees.
• Prepare regular reports for escalation of issues to the Head of Compliance, senior management of the Hong Kong branch, and Global Compliance teams.
• Establish robust mechanisms for tracking progress on regulatory compliance among business stakeholders; formulate testing programmes to ensure adherence to laws, regulations, internal policies, and procedures.
• Provide supervision, support, and guidance to the Compliance Team.
• Take responsibility for ad-hoc projects assigned by the Head of Compliance as required.

What you bring:

• Over 10 years’ experience in a senior compliance role within banking, ideally commercial or corporate banking, with proven success supporting complex regulatory environments.
• Extensive knowledge of HKMA and SFC regulations; demonstrated experience managing relationships with these bodies.
• Strong understanding of banking products as well as market regulations such as Volcker Rule and, Dodd-Frank.
• Exceptional analytical skills combined with a collaborative mindset; able to assess complex situations thoughtfully while working closely with colleagues across departments.
• Excellent written and communication skills in English and Cantonese.