AVP, Control Room, Legal & Compliance Division AVP, Control Room, Legal & Compliance Division …

BOC International
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 14 Feb 20
BOC International
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 14 Feb 20
As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career in our group.


  • Responsible to conduct regular and ad hoc review of communication using the Company's surveillance tools;
  • Conduct independent analysis and identify suspicious activity which may violate the Chinese Wall Procedures;
  • Pro-actively and timely escalate issues to the Team Head for further investigation as appropriate;
  • Assist to implement new and enhanced surveillance reviews and processes;
  • Manage and support surveillance systems maintenance and enhancement;
  • Responsible to review the due diligence control checklist on sponsor deals;
  • Submission of regulatory filings for GO deals as and when required;
  • Any other duties as assigned by the Team Head from time to time.


  • The candidate must be ready to cope with a significant workload of alerts and messages to review every day
  • 5+ years direct experience in electronic communication surveillance role, or experience working as a regulatory or enforcement officer, or in a role in compliance, audit, risk management or similar function in the financial industry
  • Self-motivated with a strong sense of ownership and accountability
  • Results oriented, strong attention to details, good judgment skills, discretion and confidentiality in all tasks
  • Ability to multi-task and prioritize effectively
  • Knowledge of Compliance laws, rules, regulations as well as market practice
  • Bachelor Degree holder (preferably in Law or Finance)
  • Proficiency in spoken and written English and Chinese (both Cantonese and Mandarin)
  • MS Office applications (Excel, Word, PowerPoint)

Notes to applicants:

  1. Please apply in strict confidence with full resume, academic record, current and expected salaries.
  2. The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
  3. Candidates with Enhanced Competency Framework (ECF): please state on the CV.