Business Compliance, VP

Job Description

About the team. You will be joining a collaborative, high-performing regional compliance team. This group partners closely with cross-functional support units and front-office business stakeholders, particularly within Treasury and Global Markets. It is a professional and supportive team that values continuous improvement, open communication, and proactive risk management in a fast-paced regulatory landscape. About the job. • Partner with business and support functions to provide clear, practical guidance on policies, procedures, and control frameworks across products and services. • Conduct robust product reviews and compliance risk assessments, identifying key regulatory risks and recommending proportionate mitigation strategies. • Support the establishment of effective and well-controlled approval processes for new products and business initiatives. • Support the development, enhancement, and maintenance of compliance policies and procedures to ensure ongoing alignment with regulatory expectations. • Monitor regulatory developments and industry trends, assessing implications and driving timely updates to frameworks, controls, and practices. • Prepare clear and insightful management information for senior stakeholders, providing a comprehensive view of compliance risks, key issues, and emerging trends. • Identify and proactively escalate material compliance issues, recommending practical solutions and supporting effective remediation. • Support regulatory inspections and internal audits, coordinating responses and ensuring high-quality, timely submissions. • Contribute to maintaining constructive and effective relationships with regulators (such as the HKMA and SFC) through responsive and professional engagement. • Design and deliver compliance training and awareness initiatives to strengthen understanding of regulatory requirements. • Promote a strong compliance culture through effective communication and engagement across the organisation. • Lead or support regional and global compliance projects, working collaboratively with cross-functional and international stakeholders. • Drive continuous improvements to compliance frameworks and processes, leveraging regulatory feedback, industry best practices, and technological developments. • Work collaboratively within the team, providing support and coverage as required to ensure the continuity and effectiveness of operations. Show More