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Team Head - Compliance Review-

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Team Head - Compliance Review-

  • Location:

    Hong Kong

  • Sector:

    LMA Asia Legal & Compliance

  • Job type:


  • Salary:


  • Contact:

    Tanu Booluck

  • Contact email:

  • Job ref:


  • Published:

    16 days ago

  • Expiry date:


  • Client:


Our client, a large financial institution in Hong Kong is looking for a seasoned Team Lead for their Compliance Review team to lead a well established team. Reporting to the Head of Compliance, you should possess strong retail banking experience and extensive investment products knowledge (both regulatory and AML).

  • Remuneration : HK$1.4M - to HK$1.7M base

Responsibilities of the role:

  • To be the Team Head of the Compliance Review Department
  • To carry out the compliance monitoring programmes on high-risk operations
  • To perform scheduled branch visits, compliance reviews/ self-assessment on selected operations
  • To prepare management report on branch visit and compliance review/ monitoring
  • To provide recommendations on compliance issues and findings being identified
  • To follow up the implementation of recommendations issued
  • To supervise the performance of compliance reviews & branch visits and review the work done by Compliance Managers/ Assistant Compliance Managers
  • To assist the Department Head in organizing and performing the compliance review initiatives
  • To develop and design the compliance monitoring programmes/ compliance review/ self-assessment

Requirements of the role:

  • University graduate OR relevant professional qualifications, such as AHKIB, CPA, etc.
  • At least 10 years' working experience in the financial services industry with compliance / audit / risk management / internal control experience as well as in-depth knowledge of requirements from HKMA / SFC / PCPD
  • Strong retail banking experience is a MUST
  • Extensive knowledge in investment products (both regulatory and AML)
  • Excellent presentation and report writing skills
  • A confident, efficient and effective team player with initiative and who is able to work independently

If interested, please contact

Company Reg. No.: 201131609D: Licence No.: 11C4684 : EA Reg No: R2196467