VP-Compliance Control

Introduction

Since 1973, East West Bank has served as a pathway to success. With over 110 locations across the U.S. and Asia, we are the premier financial bridge between the East and West. Our teams of experienced, multi-cultural professionals help guide businesses and community members on both sides of the Pacific looking to explore new markets and create new opportunities, and our sustained growth and expertise in industries like real estate, entertainment and media, private equity and venture capital, and high-tech help build sustainable businesses and expand our associates' potential for career advancement.

Headquartered in California, East West Bank (Nasdaq: EWBC) is a top-performing commercial bank with a strong foundation, an enterprising spirit and a commitment to absolute integrity. East West Bank gives people the confidence to reach further.

Overview

Be one of the key members of the compliance team to support ambitious growth agenda of EWHK. Conduct compliance activities and provide practical advice to enhance compliance maturity across all businesses (PW, AM, GM and IB). A great opportunity to grow and learn with the business and broaden business coverage and technical specialties.

Responsibilities

• Provide highly specialised advice and interpretation of legal, regulatory and compliance risk requirements as they relate to information barriers and conflicts management compliance.
• Proficient in all key compliance control room activities such as watch/restricted list maintenance, wall crossing, insider lists, information barrier designations, research clearance and vetting requests.
• Assess and manage conflicts of all past, active and potential transactions for all East West Bank Group business lines including, but not limited to, Advisory, Wealth Management, Asset Management, Private Banking, Private Equity, Commercial Banking, Global Markets, East West Market
• Review and analyse relevant regulatory notices, rule changes and industry best practice.
• Design and deliver trainings regarding COI management, Watch List and Restricted List protocols, Information Barrier Policy, wall crossing procedures and employee trading restrictions

Qualifications

• A can do attitude with commitment to continuous learning, nothing is too big or too small
• Ability to build and maintain collaborative relationships across all levels of the organization
• Strong analytical and problem-solving skills with banking and commercial acumen
• Strong understanding of banking regulations in Hong Kong and the region
• At least 10 years of experience in compliance, audit or a related field in Consultancy, and/or Private Banks and/or Corporate and Institutional Banks
• Experience of working in the Compliance/Legal function of an investment bank. We will also consider those with similar experience professional service firms.
• Strong understanding of Investment Banking & Securities business and products.
• Strong understanding of the current regulatory environment and financial markets and/or securities regulation and rules.
• The ability to be comfortable at networking / relationship building across a wide range of internal departments, compliance functions, and industry bodies.
• Excellent communication skills, both written and verbal are essential.
• Strong influencing and problem-solving skills.
• Self-motivated, organised and results orientated.