Head of Regulatory Compliance
Executive Access
Hong Kong, Hong Kong
source : eFinancialCareers


  • To be the Head of Regulatory Compliance in managing all regulatory compliance issues, providing assurance to CEO and the management that regulatory compliance risks are managed effectively within the bank.
  • To manage the regulatory risks of the Hong Kong Branch.
  • To manage the regulatory relationship with the Hong Kong Monetary Authority (HKMA).
  • To manage regulatory visits by local regulators and those from Head Office including requests for information.
  • To liaise with the regulatory authorities (i.e. HKMA) and auditors (i.e., external and internal) where necessary with regard to various reports, transactional matters and incidents.
  • To handle and advise business and support units to establish appropriate policies, manuals and procedures for their operations
  • To Set up the compliance review program to perform sufficient assurance reviews and detect any regulatory compliance risks
  • To handle and advise on regular submissions or ad-hoc surveys, regulatory information request or enquires, and liaise with regulators and coordinate appropriate responses to their queries
  • Requirements

  • At least 10+ years relevant / related experience, retail / consumer banking expereince will be a plus.
  • Experienced in advising on Hong Kong regulatory Compliance and interacting with regulatory bodies
  • Familiar with the relevant banking laws
  • Knowledge of fintech, mobile banking, payment systems, and receptive to the use of new technology such as Big Data and AI
  • Willing to work independently and work in ambiguity and fast-changing environment
  • Able to communicate well with all levels of staf
  • Verbal and written English and Chinese are essential
  • For interested parties, please feel free to contact Maggie Li at mli executiveaccess.com for a confidential conversation.


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