Compliance, VP (Private Bank)
Spring Professional (Hong Kong) Limited
Hong Kong, Hong Kong

About the client

Our client is a global investment bank and financial services firm. Their business has penetrated into different parts of the world, their trading volume has grown rapidly, and eager to expand further.

With the changing needs of the markets and commitment towards sustainable development & growth in the regions, they are currently looking for an experienced Compliance professional to join the team and sit in the Private Banking arm.

The role is based in Hong Kong.

Main Duties and Responsibilities

Reporting to the Compliance Director, you will be taking care of all compliance matters, acting as the subject matter expert, looking after HK, PRC and SG market.

You will be the representative in facing regulatory bodies, internal and external stakeholders. You will drive initiatives and manage regulatory compliance projects and ad hoc assignments.

Other Roles and Responsibilities

  • Oversees all compliance matters, supporting APAC region
  • Responsible in taking care of account opening, source of funds, KYC, AML, FATCA, CRS etc.
  • Identify potential regulatory compliance risks and design action plans to mitigate the risks
  • Provide professional advice to relevant parties
  • Keep up to date on changes and updates regarding regulatory updates
  • Advise senior management as a subject matter expert in regulatory compliance
  • Lead and involve in regulatory compliance projects
  • Closely communicate and liaise with BU and relevant stakeholders
  • Actively reach out to and communicate with regulators
  • Support in designing and implementing Global and APAC projects / initiatives
  • Participate in ad hoc international projects
  • Candidate profile

    9+ years of compliance experience gained from Private Bank / Wealth Management arm, with solid AML and KYC experience and risk mindset.

    As one of the main compliance representatives of the company, you must possess excellent presentation and communication skills.

    Possess a strategic mindset, excellent risk awareness and being ethical. Embrace changes, fast-paced, flexible and open-minded.

    Fluent in Cantonese, English and Mandarin.

    What to Expect

  • Our client offers the benefits of a work environment that is stimulating, challenging and balanced. You will be working in an Exciting and Fast-Paced Environment for an Established Organization;
  • and being a part of an Employee & Customer Centric Business that provides a large degree of autonomy to their management team and encourages creativity and development of new ideas.

    Interest and Apply

    Advance your career to the next level with this fantastic opportunity in Hong Kong. To further consult on this role, please reach out to Adrienne Lui via adrienne.lui

    Please note that only short-listed candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.


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