Assistant Vice President, Compliance Assurance

Mandatory Reference Checking Scheme (“MRC”) for Hong Kong The Mandatory Reference Checking Scheme is a framework to facilitate Authorized Institutions (“AIs”) to bilaterally obtain reference information during their recruitment process for certain positions, such that misconduct information in an individual’s previous employments can be provided to AIs to inform their employment decisions.

For information related to MRC Scheme, “Frequently Asked Questions for In Scope Individuals” is published by HKAB/Industry Guidelines ( https://www.hkab.org.hk/en/home ) or further information will be available upon request, if it is applicable to the position(s) applied. Country of Location: China Hong Kong Job Responsibilities:

• Carry out compliance monitoring/ assurance program on the Bank’s various activities.
• Review the current compliance controls of the Bank and identify proper actions for improvement if necessary
• Perform regular tracking on all outstanding issues identified during compliance monitoring/ assurance program on the Bank’s various activities
• Provide input in handling ad hoc regulatory examinations from time to time
• Provide coaching and training to junior team members as required
• Take up other assignments from time to time as directed by the supervisor or the management of Controls & Compliance Group Requirements: Degree holder in Law, Business Administration or related disciplines; Minimum 8 years' legal, general audit or compliance experience in legal / compliance area in a sizable financial institution and/or regulatory bodies is preferred; Expertise in compliance regulations and practices and have good understanding on regulators’ expectation; Holder of Associate Compliance Professional (ACOP) Certificate under the HKMA ECF on Compliance is preferred; Good command of written and spoken English and Chinese (including Putonghua).