Compliance Officer

2 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China CICC Full time

Job Title: Compliance Officer

Job Summary:

We are seeking a highly skilled Compliance Officer to join our team at CICC. The successful candidate will be responsible for providing compliance coverage to our Equities, FICC, and Wealth Management business activities conducted from Hong Kong.

Key Responsibilities:

  • Provide compliance advisory to the Equities, FICC, and Wealth Management departments on all issues relating to day-to-day business.
  • Review new business and product proposals from a regulatory, best practice, and Firm standard perspective.
  • Maintain and update all relevant compliance manuals, policies, and procedures to ensure they properly reflect applicable legal and regulatory requirements, best practices, and Firm standards.
  • Work closely with other compliance teams on AML, licensing, and surveillance matters.
  • Handle compliance issues and incidents in conjunction with relevant stakeholders.
  • Identify and carry out the necessary actions to provide solutions needed to discharge effective compliance advice to the business.
  • Perform regular compliance risk and controls assessments.
  • Provide compliance training to business units and infrastructure support functions.
  • Liaise with regulators and internal auditors on various requests in relation to compliance issues.
  • Manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive.

Requirements:

  • Strong financial services compliance or regulatory legal background.
  • Excellent knowledge of Equities and FICC products-related regulations and exchange trading rules.
  • Prior experience in providing in-house compliance or regulatory legal coverage for securities sales and trading business is an advantage.

Skills and Abilities:

  • A professional with high integrity.
  • Excellent verbal and written communication skills.
  • Strong analytical skills, thoughtful.
  • Detailed-oriented.
  • Technology-savvy.
  • Fast learner.
  • Proactive and able to act independently.
  • Good team work skills.

Qualifications:

  • University degree.
  • At least 8 years of relevant compliance experience in providing public side compliance in financial institutions and/or regulatory authorities.

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