Assistant Vice President, Compliance Review

Responsibilities:

• Lead and coordinate AML/ CFT reviews of the Bank Group so as to ensure compliance with internal policies/guidelines as well as external regulatory requirements/ expectations

• Review at least regularly the risk-based compliance review programs as well as develop/ enhance individual compliance review programs, where necessary

• Identify, assess, report and mitigate the compliance risks of the Bank Group

• Provide practical recommendations for internal units under review to address the compliance review findings identified

• Review/ prepare compliance review reports

• Prepare reporting of compliance review results to senior management on a regular basis

• Monitor implementation status of rectifications agreed by reviewed units till completion

• Coordinate and prepare materials for reporting in the meetings of various Board/ management-level committees

• Coordinate relevant examinations conducted by regulators and monitor the progress of corresponding remedial actions

• Handle enquiries from auditors

• Handle ad hoc projects assigned by management

Requirements:

• Degree holder in Business Administration, Risk Management, Law or related disciplines

• Holder of ECF on AML/CFT certification or equivalent qualifications (e.g. CAMS, CIA, CPA) is preferred

• Minimum 8 years of experience in AML/CFT compliance, audit, or control functions within the banking industry

• Well versed in Hong Kong banking regulatory requirements, with good understanding of relevant banking regulations in Chinese mainland, the United States and the United Kingdom

• Good knowledge of global AML regulatory frameworks and local jurisdictional requirements

• Solid understanding of compliance review and audit standards and methodologies

• Excellent report writing, analytical, interpersonal, and time management skills

• Strong leadership skills with the ability to lead and manage compliance review on AML/CFT