VP - Compliance, Regulatory Enforcement & Oversight

About the Company

Our client, a global financial services institution, is seeking a highly skilled professional to lead oversight programs, ensure regulatory compliance, and drive governance excellence. This role requires strong analytical capabilities, stakeholder engagement skills, and the ability to shape internal practices while supporting strategic initiatives.

This role offers the opportunity to shape governance practices, influence regulatory engagement, and contribute to strategic projects that drive organizational success. You'll work closely with senior leadership and regulators, making a tangible impact on compliance and oversight standards.

Key Responsibilities

• Governance Oversight: Manage annual attestations, conduct inspections, and lead thematic reviews to strengthen governance frameworks.
• Issue Resolution: Investigate breaches of rules and regulations, ensuring corrective measures are implemented effectively.
• Regulatory Engagement: Collaborate with local and international regulators to address misconduct and enhance oversight practices.
• Insight Delivery: Prepare clear, data-driven reports and presentations for senior management and external stakeholders.
• Policy & Workflow Improvement: Review internal policies, refine workflows, and explore automation opportunities to improve efficiency.
• Strategic Support: Contribute to special projects and departmental initiatives that advance organizational goals.

Job Requirements

• Bachelor's degree in Law, Finance, Business Administration, Compliance, or related field.
• 7 years+ in compliance, governance, or regulatory affairs.
• Professional credentials such as CAMS, CISA, ICA, or equivalent are advantageous
• Strong understanding of regulatory frameworks, governance standards, and risk management practices.
• Proven ability to conduct investigations, thematic reviews, and deliver actionable insights.
• Demonstrated ability to lead oversight programs and contribute to strategic initiatives.
• Integrity, attention to detail, adaptability, and the ability to thrive under pressure.
• Proficiency in English and Chinese (Cantonese); Putonghua preferred.