Legal and Compliance Division

Assistant Vice President, Regulatory Compliance


  • Review and provide feedback for matters with compliance implications to business units as well as management team
  • Disseminate latest development of laws and regulations and their implications to the concerned units and management team for their attention and implementation of regulatory requirements
  • Disseminate, consolidate and follow up regular and ad hoc requests/ surveys/ enquiries raised by the HKMA and regulatory bodies to ensure timely submission
  • Coordinate and arrange with business units to conduct and follow up gap analysis report for new/ revised SPMs and regulatory updates with significant impacts on the Bank’s operation and customers
  • Cultivate compliance culture and raise compliance awareness among staff by enhancing communication and providing training on general compliance matters where necessary
  • Contribute to enhancement on the overall compliance risk management framework
  • Review the overall assessment and provide comments on the Bank’s final response to complaints with compliance issues/ elements
  • Perform other ad hoc projects or assignments


  • University degree in Law, Business Administration, Accounting, Finance or related discipline
  • Minimum 6 years’ working experience in banking/ financial services industry with compliance, audit, risk management or internal control experience
  • Conversant with banking laws, rules and regulations including Code of Banking Practice and HKMA Supervisory Policy Manual, etc.; Sound knowledge of general banking products
  • Self-initiated and able to work independently; attentive to details and able to exercise judgment with strong analytical skills
  • A good team player with strong communication and interpersonal skills and able to liaise effectively with stakeholders at different levels
  • Proficient in both English and Chinese, including Putonghua