AVP Compliance AVP Compliance …

in Hong Kong
Permanent, Full time
Last application, 16 Apr 21
in Hong Kong
Permanent, Full time
Last application, 16 Apr 21
Posted by:
Blair Zhang • Recruiter
Posted by:
Blair Zhang

The Role / Responsibilities:
Moody's compliance function operates globally to provide compliance advisory and training to its business lines. This role will be directly reporting to and working closely with the Head of Compliance in Hong Kong, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities for the Hong Kong hub.

  • Planning and executing various compliance initiatives, often in a managerial role
  • Planning and executing compliance training
  • Ability to assume managerial, leadership, mentor role as Senior Compliance Officer
  • Providing technical and managerial support for local compliance needs as required
  • Coordinating and interfacing with Global Compliance teams and BUCOs
  • Supporting compliance efforts outside of jurisdiction and region as may be directed
  • Participating in and contributing to local / team / group / corporate discussions
  • Developing and managing implementation projects
  • Performing other duties as may be instructed by management
  • Interfacing with external parties, particularly regulators, as may be required.


  • Bachelor degree or higher in business, law or other finance related discipline
  • Qualifications or licenses in law, accounting or compliance are highly desirable
  • More than 5 years in one of the following:
    • Compliance Officer, or regulatory affairs, internal audit, or legal departments, or a combination thereof, in a global financial institution can be considered.
    • Prior experience in the Securities Futures Commission and/or law enforcement functions will be a plus
    • In the practice of law, either as a licensed attorney, or foreign attorney practicing in an Asia Pacific jurisdiction. Legal experience in finance related sector is desirable.
  • Considerable exposure to securities regulators, securities regulations and AML/financial crime
  • Any portion of the above relating to securities-related matters are advantageous
  • Knowledge and experience in cross-border regulatory environment will be an advantage

Key Skills

  • Highest Ethical Standards
  • Professional demeanor, pro-active, flexible, diligent, and dependable
  • Excellent interpersonal, leadership, and management skills to enable skillful interaction with internal, external, and regulatory parties
  • Influencing and negotiation skills
  • Excellent verbal and written communication skills. Oral and written proficiencies in Putonghua / Cantonese preferred, in addition to strong command of English
  • Ability to adapt to changing market conditions and business environment
  • Enthusiasm and ability to learn, ability to work independently and effectively within a team
  • Highly organized and efficient, with an ability to multi-task and meet tight deadlines
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