Assistant Vice President

Hong Kong Exchanges and Clearing Limited (HKEX); Hong Kong; On-site; HKD 700,000 - 900,000; Full time

Job summary

A leading financial institution in Hong Kong seeks an Assistant Vice President for Central Compliance. The role involves employee compliance oversight, enhancing financial crime prevention programs, and leading various compliance projects. Ideal candidates should possess a bachelor's degree and over 10 years of management-level compliance experience, exhibiting strong analytical and communication skills. This role supports a permanent position with significant responsibilities in governance and regulatory engagement.

Qualifications

• Minimum of 10 years of experience in regulatory compliance in financial institutions or similar.
• Experience in managing compliance policies and frameworks.

Responsibilities

• Support the implementation of the Employee Compliance program.
• Enhance and implement the financial crime prevention program.
• Lead compliance projects and policy implementations.
• Assist in compliance risk metrics and regulatory engagement.

Skills

Compliance frameworks knowledge

Analytical skills

Oral and written communication

Inter-personal skills

Team collaboration

Fluency in English

Fluency in Chinese

Education

Bachelor degree in Law, Accounting, Finance or related discipline

Job description

Overview

AVP 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 on the escalation and management of policies 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.

HKEX is committed as an Equal Opportunity Employer. Diversity is one of our core values and we look to support, respect diverse perspectives, abilities, culture and experiences within our workplace.

Location: HKEX - Exchange Square

Shift: Standard - 40 Hours (Hong Kong SAR)

Scheduled Weekly Hours: 40

Worker Type: Permanent