VP, Regulatory Compliance, Investment Bank

  • HKD1000000.00 - HKD1600000.00 per annum + Discretionary Bonus
  • Hong Kong
  • Permanent, Full time
  • Ambition Hong Kong
  • 08 Aug 17

An Excellent Regulatory Compliance Role with Strong Regulatory Relationship / Liaison Exposure....

  • Strong Exposure to Regulatory Matters
  • Regulatory Compliance & Advisory
  • Attractive Base Salary + Bonuses

Our client is a leading international Investment Banking Group with a strong presence in Asia across investment banking, global markets, private banking and asset management. As part of continued growth, an outstanding opportunity has arisen for an experienced professional in the Regulatory Compliance area to join their regional team based in Hong Kong.

Reporting to the Head of the function, you will be a senior member of the Regulatory Compliance regional team with primary responsibilities dealing with the Hong Kong regulators whilst providing support on handling regulators in the various Asia locations. You will build strong relationships with the various regulators and be the key liaison with the firm on regulatory matters, driving regulatory compliance and risk awareness and being involved in regulatory discussions across the region and globally. You will respond to regulatory inquiries, coordinate on consultation, inspections and examinations, provide updates on regulatory changes, track changes on policies. Working closely with the business and management team, you will provide business advisory on regulatory matters and transactions related regulatory issues as well as regulatory impacts that may arise from firm-wide / business changes.

To qualify, individuals must possess:

  • Minimum 8+ years relevant experience in compliance, legal, regulatory, audit functions gained from investment banks and / or securities brokerages preferred, other financial institutions with strong relevance would be considered.
  • Relevant experience from Regulators, Exchanges, Big 4 or Law Firms would also be considered.
  • Less experienced candidates would be considered at AVP level.
  • Strong knowledge of the SFC regulations, additional knowledge on HKMA regulations would be beneficial
  • Good commercial mindset with ability to balance regulatory risk and commercial aspects
  • Excellent communication skills with fluency in speaking and reading / writing English and Chinese


Contact Amy Ho (852) 3101 3066 or click APPLY NOW button quoting reference number AH 45047. www.ambition.com.hk

Data provided is for recruitment purposes only.
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