Vice President, Compliance Audit and Testing, Private Bank

Hong Kong Island Permanent
  • One of the leading European banks in the world
  • Excellent culture and great benefits

About Our Client

This bank offers Wealth and Asset Management services and tailored investment solutions to their clients with presence in major financial markets. This role will be within their Private Banking business.

Job Description

Reporting to the Chief Compliance and Risk Officer of North Asia, you are responsible for supporting senior management to manage the compliance risks faced by the bank. This Vice President Compliance Monitoring & Assurance will perform risk-based compliance testing and reviews to provide insights on key controls surrounding AML, investment suitability and cross-border issues.

Main Responsibilities:

  • Maintain a risk based Assurance and Testing program over controls with respect to regulatory guidelines and policies requirements
  • Follow through Group policies and procedures to establish the Monitoring program
  • The program will mainly look after but not limited to investment suitability, AML, cross-border
  • Communicate regularly with stakeholders on control improvements and risk exposures to limit risks
  • Work closely with Chief Compliance Officer to by sharing results found from testing

The Successful Applicant


  • Bachelor's or Master's in Accounting, Law or related disciplines
  • Must have experience working at private banks/ wealth management while covering regulatory compliance, compliance audit, testing and assurance
  • Over 7 years of experience in compliance, control, audit or risk including exposure to private wealth environment
  • Solid knowledge of rules and regulatory requirements from regulators such as HKMA/ SFC
  • Big 4 trained would be an advantage
  • Must be able to speak fluent English and Chinese (both Cantonese and Mandarin)

What's on Offer

  • Small team set-up
  • Great exposure to more than just compliance testing/ review
  • Great company
Jeremy Lam
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Job summary

Operational & General Management
Operational & General Management Subsector
Financial Services
Hong Kong Island
Contract type
Consultant name
Jeremy Lam
Job reference

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