Compliance Manager, Assistant Vice President

  • Market Rate
  • Hong Kong
  • Permanent, Full time
  • State Street
  • 29 Sep 16

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success. Our promise to

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.



Our promise to maintain an environment where every employee feels valued and able to meet their full potential infuses our company values. It’s also part of our commitment to inclusion, development and engagement, and corporate social responsibility. You’ll have tools to help balance your professional and personal life, paid volunteer days, and access to employee networks that help you stay connected to what matters to you. Join us.





  • Well verse experience and knowledge of Hong Kong regulatory requirement, i.e., Outsourcing requirements, Inadvertent Data Disclosure Reporting.

  • Provide advisory and work closely with business unit(s) in respect of various outsourcing project.

  • May have direct contact with regulatory agencies, internal and external advisors and other internal control groups on compliance- related issues.

  • Under limited supervision, individual in this position provides compliance support to Corporate Compliance Program (COP), business and functional unit(s).

  • Participate in the execution of the COP.

  • Assess operational effectiveness and make suggestions to streamline functions.

  • Review activities and documentation focusing on higher level advisory or process management issues.

  • Fully knowledgeable in area of expertise and have full understanding of the relevant compliance management policies, procedures and standards.

  • Create/Review policiesor procedures suitable for the business unit(s).

  • Independently conduct assigned responsibilities within their section of overall compliance function and are capable of executing/completing a range of complex tasks and analysis. Escalatecomplex and higher risk issuesto senior managers and Identify solutionsfor complex issues in a multi-constituent environment.

  • Coordinate the review and interpretation of new and pending laws and regulations that potentially affect the organization’s business practices.

  • Complete new projects initiatives as assigned.

  • Provide direction and training to more junior staff.





  • Bachelor’s degree or above.

  • Minimum 8 years solid compliance related experiencein the financial industry.

  • Compliance experience related to HKMA, HKDPB and HKAB.

  • Demonstrated good communication and organization skills.

  • Demonstrated good project management and leadership skills.

  • Demonstrated good analytical and problem solving skills.

  • Team player.

  • Ability to build consensus.

  • Ability to develop and maintain business relationships within business unit(s) and across the corporation