FVP/ VP - Investment Compliance

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.

Act as compliance advisor to support businesses in particular Private Banking (PB) and Investment Banking (IB), to ensure EWHK acts in compliance with applicable laws, regulations and ethical standards in dealing with customers and/or market participants and/or authorities which regulate financial institutions so that the risk of impairment to EWHK’s reputation and integrity is properly monitored.

• Advise business stakeholders on compliance related matters and provide guidance to business on day-to-day compliance requirements
• Review and update internal manuals, policies and procedures to ensure rules and regulations of HKMA and SFC are in place
• Monitor and assess product/investment suitability to ensure alignment with client needs and regulatory requirements and standards
• Manage trade surveillance activities and ensure compliance with relevant regulations
• Conduct regular compliance reviews and audits to identify and mitigate potential risks
• Stay up to date with changes in regulatory requirements and industry’s best practices
• Ascertains training needs and helps develop training based on gaps identified through compliance monitoring and testing
• Collaborate with internal and external stakeholders to address compliance issues and implement corrective actions
• Perform ad-hoc reviews and projects assigned by the Management

• Bachelor’s degree in Finance, Business Administration, or related field
• 10 – 15 years of PB/IB Compliance experience within the banking industry or regulators
• Holder of any recognized compliance certificate is preferred
• Strong knowledge of investment suitability, general compliance, and trade surveillance
• In-depth understanding of regulatory requirements and industry standards
• Commercially orientated and be practical and diplomatic in making appropriate judgement calls together with the business
• Strong communication, critical thinking and analytical skills and relationship management
• Strong interpersonal skills, with the ability to work effectively with diverse teams
• Proficiency in compliance software and tools
• Good command of both written and spoken English and Chinese (including fluency of Mandarin)
• Proficient in MS Office, including Word & Excel and Chinese word processing
• Immediately available is highly preferred