Job title: MD, Head of Regulatory Compliance
Job type: Permanent
Emp type: Full-time
Industry: Banking: Corporate Banking / Commercial Banking
Expertise: Compliance
Salary type: Annual
Salary from: HKD $2,500,000.00
Salary to: HKD $3,200,000.00
Job published: 14-11-2019
Job ID: 34190
Contact name: Jennifer Yang
Phone number: +852 3708 9510
Contact email:

Job Description

MD, Head of Regulatory Compliance, Chief Executive Level – Prestigious Banking Group


Our client is a well-established banking group with a strong presence in Hong Kong. They are seeking a high-calibre and articulate Chief Compliance Officer to join their Hong Kong team.


This Chief Executive directly to the Group CEO and it is essential to provide in-depth compliance and regulatory support to the whole banking operation. You will be responsible to oversight, drive and implement bank-wide compliance frameworks, group compliance initiatives and regional business policy programs where applicable to the country business model. In addition, you will be responsible to provide in-depth regulatory compliance advisory, governance and oversight across all business, you will continuously review appropriate framework to monitor regulatory compliance developments impacting the bank.


As senior Chief Executive for the bank, you will be engaging with Regulators (HKMA and SFC) and industry bodies in Hong Kong on Regulatory Compliance matters to ensure timely and relevant risk information is provided to senior management, Risk Management Committee and Risk Committee. You will showcase tremendous management leadership skills by creating an inclusive work environment for all employees to feel motivated and become successful. You are also required to communicate constantly with senior stakeholders and liaise with different teams on business policies. Provide team leadership, drive change and align team effort with clear performance will be essential.


Apart from ensuring the business is in compliance with all policies and rules of the firm and the necessary legal and regulatory requirements, you are also required to monitor business growth, implement and lead group initiatives, review appropriate compliance framework and ensure effective systems and controls are in place.


To qualify, Individuals must possess:

  • Over 15+ years of relevant work experience in the areas of regulatory compliance in banking or regulatory bodies or financial services
  • University degree or professional qualification in Law / Finance / Accounting / Business or related disciplines
  • Equipped knowledge of rules, regulations and statutory requirements of Hong Kong Monetary Authority, Securities & Futures Commission and other regulatory bodies
  • Significant leadership experience and a strategic thinker
  • Legal qualified PQE or ex- Regulator plus banking compliance experience will be ideal
  • In-depth knowledge on bank-wide operations and products including private bank, retail bank, Corporate bank, global market and investment bank business
  • Excellent communication and interpersonal as well as influential skills, with experience of dealing with executives at all levels
  • Strong and approachable leadership skills must be apparent with the ability to lead constant changes, motivate team performance and execute the best results
  • Excellent written and spoken fluency in English and Cantonese


To apply, please contact Jennifer Yang for a confidential discussion at (852) 3708 9510 or email quoting job reference number JY 34190. To visit more Legal, Compliance and Risk management jobs please check



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