Assistant Vice President (Testing Surveillance) – Compliance Office for Asia Assistant Vice President (Testing Surveillance) –  …

in Hong Kong
Contract, Full time
Last application, 16 Sep 21
in Hong Kong
Contract, Full time
Last application, 16 Sep 21
Posted by:
Douglas Zhao • Recruiter
Posted by:
Douglas Zhao

Purpose of the Role:

The purpose of this role is to perform Compliance Testing as  part a 2nd line of defense function across all business units/support functions to ensure adherence to global, regional and local regulatory requirements. The team are responsible for delivering high quality testing reviews and providing recommendations to validate compliance against applicable regulations and policies and procedures. The team also works closely with the Surveillance and Compliance Control/Advisory team on risk related issues, business developments and regulatory related matters

This is a 12months contract role.


Job Responsibilities:

  • Execute testing in accordance with the Annual Testing Plan and the Compliance Programme.
  • Track and manage compliance testing identified issues to completion, including validation of completion status and communicate with the Head of Testing
  • Asses the effectiveness of existing processes and controls and manage the delivery of testing reports to identify material issues.
  • Promote fiscally responsible use or management of resources, while supporting program development or enhancement necessary to effectively develop or manage core compliance risks across Hong Kong Branch.
  • Assist in ensuring risk and control issues are adequately communicated, remediated and escalated to the business/ Senior Management where necessary.
  • Prepare and draft Compliance Testing results for Hong Kong Branch Management highlighting suggested areas of improvement and recommendations for risk mitigation.
  • Work in partnership with compliance colleagues in other team within ACO (e.g. Regulatory Change and Policy Team and Advisory Team) to make sure key risks in business and key controls on policy level have been covered in compliance review and properly monitored.
  • Provide support to the team regarding ACO project and system implementation program.
  • Provide support to internal and external inspection assignments.
  • Provide support to surveillance monitoring function.


Job Requirements:

  • At least 3 years of relevant working experience prior experience in a compliance review /assurance / audit role covering Corporate Banking and/or Retail Banking.
  • Good knowledge of Corporate Banking and/or Investment Banking products and services.
  • Holder of CPA with experience audit firm and/or compliance monitoring is preferable.
  • Previous experience in Banking Compliance Function - ideally with a background in assurance / testing / internal audit.
  • Exposure to compliance and regulatory risk environments.
  • Preferred exposure to corporate banking in Hong Kong.
  • Good interpersonal skills and dealing with executives at all levels.
  • Meticulous, analytical and independent self-starter with proven ability to work collaboratively within teams and to deliver on time
  • Good verbal, written communication and presentation skills, with a proven ability to clearly articulate business and regulatory implications of analysis and findings.


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