Central compliance, VP - investment bank | Hong Kong, HK | In-Office

Banking / Finance • Full Time • Hong Kong, Hong Kong, HK • 1w ago

A prestigious global financial institution is seeking a compliance professional to join its expanding compliance team.

As Vice President, Central Compliance, you will oversee some of the most critical aspects of regulatory reporting for the Hong Kong entity. Your day-to-day activities will involve close interaction with both local teams and global counterparts as you manage Disclosure of Interests programmes from end to end-monitoring triggers, preparing filings, advising on complex rules, and ensuring audit readiness.

What you'll do:

• Oversee the governance and reporting of Disclosure of Interests (DOI) under Part XV of the Securities and Futures Ordinance (SFO), including monitoring triggers, preparing filings, and advising on aggregation requirements and exemptions.

• Advise corporate functions and senior management on DOI rules, disclosure obligations, and ensure all procedures are documented for audit readiness and regulatory reviews.

• Manage the firm's weekly short position reporting obligations under Hong Kong law by coordinating data collection with operations and technology teams to guarantee timely and accurate submissions.

• Strengthen control frameworks related to short position reporting by enhancing exception management processes and improving documentation standards.

• Lead end-to-end DOI automation initiatives by defining business requirements, validating system logic, participating in user acceptance testing, and ensuring alignment with regulatory interpretations.

• Identify opportunities to streamline manual compliance workflows through process improvement projects that increase reporting accuracy and control robustness.

• Support core central compliance functions such as regulatory filing coordination, compliance monitoring activities, annual training programmes, firm-wide certifications, and policy attestations.

• Promote a strong compliance culture across all corporate functions through clear communication strategies and ongoing engagement with stakeholders at every level.

• Collaborate effectively with global stakeholders to ensure consistent application of compliance policies and share best practices across regions.

• Maintain high standards of confidentiality and integrity while managing sensitive information related to licensing, continuing professional training (CPT), personal account dealing (PAD), outside business interests, and other central compliance matters.

What you bring:

• A bachelor's degree is required; qualifications in legal studies, accounting, finance or regulatory disciplines are highly desirable for this position.

• 8-12 years' experience in central compliance roles or regulatory reporting within investment banking or financial services is expected for this level of responsibility.

• Comprehensive understanding of Hong Kong SFO regulations-especially Part XV DOI rules-as well as short position reporting requirements, HKEX Listing Rules, and SFC Codes & Guidelines is essential.

• Demonstrated track record managing DOI programmes, short position reporting processes, HKEX attestations or SFC filings within a regulated environment is highly valued.

• Experience leading or participating in compliance technology projects or automation initiatives provides a significant advantage for this role.

• Excellent analytical skills are necessary to interpret complex regulatory requirements accurately while maintaining attention to detail across multiple concurrent deadlines.

• Outstanding communication abilities are required for effective stakeholder management-including senior executives-and for producing clear documentation supporting audits or reviews.

• Proven project management skills are important when delivering automation initiatives or process enhancements within strict timelines.

• A disciplined approach to execution combined with high integrity ensures confidential handling of sensitive information at all times.