Compliance and Operational Risk Testing China Lead - Vice President

As the Compliance and Operational Risk Testing China Lead within the Testing Center of Excellence, you will play a pivotal role in enhancing our compliance and operational risk management. You will manage and develop a diverse team located in China, coordinating with global and regional teams on testing responsibilities across business lines and functions to deliver timely, accurate, and well-documented outcomes for our China testing program.

You will shape and execute the compliance-driven and risk-based testing strategy across our China franchise, covering complex domain processes within a leading global organization. You will own end-to-end test planning and delivery, driving oversight and governance of the China testing program, oversee the China testing team to evaluate the design and effectiveness of controls across business lines in China, identify control coverage gaps, and communicate results to senior leaders and regulators.

• Lead the development and execution of a comprehensive, risk-based testing strategy aligned to regulatory requirements and firm policies.
• Oversee end-to-end testing execution, ensuring accuracy, completeness, timeliness, and clear communication of results and impacts.
• Assess control environments to verify control design and implementation and to determine operating effectiveness; identify coverage gaps and drive sustainable remediation.
• Manage complex testing initiatives using advanced project management practices, including scope, resourcing, milestones, dependencies, and issue/risk management.
• Prepare and review test plans and scripts, sampling approaches, evidence packages, and robust testing documentation.
• Produce clear, concise reports and compelling presentations of results and recommendations.
• Lead meetings with business owners at various management levels, effectively communicate testing strategies, observations, and influence control enhancements.
• Coach and guide the testing team in China, removing roadblocks, ensuring consistency of methods, quality of documentation, and on-time delivery across concurrent engagements.
• Apply analytical thinking and data-driven techniques to evaluate complex processes. Use tools such as Excel, Alteryx, and Tableau to enable efficient, insightful testing.
• Collaborate with cross-functional partners (e.g., Business, Finance, Operations, Technology, Control Management, Internal Audit, Compliance).
• Drive continuous improvement by proposing and implementing enhancements to testing methods, automation, metrics, and reporting.
• Participate in location governance forums and provide reporting on the testing progress and escalations at the forums and senior stakeholders.
• Maintain strong awareness of applicable regulations in China, firm policies, and control standards, and escalate significant risks and policy exceptions promptly.

• More than 12 years' experience in audit, compliance testing or related discipline in the China financial services industry, including managing cross-legal entity teams and senior stakeholders.
• Audit background and corresponding qualifications such as CA, CPA, CISA, CIA.
• Business level proficiency in Chinese (Mandarin) and English, both written and verbal.
• Strong appreciation of China financial regulatory landscape, and practical knowledge of China data and legal entity requirements from national, banking and securities laws and regulations.
• Demonstrated ability to evaluate control design and operating effectiveness, SOX testing, risk assessments, key control reviews, issue identification, and remediation tracking.
• Strong knowledge of financial institution products and services (e.g. banking, markets, asset management) products.
• Proven ability to lead complex, multi-stakeholder tests, coordinate across multiple concurrent engagements and strong project management skills with a track record of on-time, high-quality delivery.
• Excellent stakeholder management skills with the ability to influence outcomes and navigate challenging discussions with senior audiences and, when applicable, regulators.
• Strong analytical, problem-solving, and critical thinking skills.
• Proficiency with MS Office (Excel, Word, PowerPoint) and experience with intelligent solutions such as Alteryx and Tableau.
• Ability to work in an global organization including participating in meetings with stakeholders across different regions (North Americas, APAC, etc).