Posted on 2021-11-23

VP / AVP, Compliance advisory - Investment Bank

Hamlyn Williams

Job Duties:

  • Contribute to monitoring and testing coverage plans for R&L and related metrics. Identify aggregate, report and escalate compliance risks, issues and control enhancements for FLU
  • Create and maintain laws, rules, regulations related to R&L in the regulatory inventory in APAC
  • Identify compliance training needs and inspect Front Line Unit for enterprise area of coverage
  • Identification of and participation in process improvement and manage regulatory change projects; working with lines of business and external partners on special projects.
  • Assist in creating and implementing additional processes to address regulatory changes and expectations


  • Minimum 5 years of work experience with a similar role
  • Relevant licensing work experience with HKMA or SFC preferred
  • Candidates with licensing and registration experience preferred.  Candidates with background in compliance, consulting, risk may also be considered
  • Good stakeholder engagement skill with solid business acumen and excellent understanding of licensing processes
  • Excellent written and verbal communication skills
  • Excellent organizational skills and team work
  • Strong attention to detail
  • Strong leadership skills with ability to manage processes in a matrix organization
  • Motivated self-starter who takes ownership and can produce high quality results with minimal direction

Please send your CV by clicking Apply Now.


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