Senior Compliance Specialist for Equities and FICC Markets

7 days ago


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

We are seeking a highly skilled Senior Compliance Specialist to join our team at CICC. As a key member of our compliance function, you will be responsible for providing expert advice on regulatory matters related to our Equities and FICC business activities.

Key Responsibilities
  • Compliance Advisory: Provide timely and effective compliance guidance to our Equities and FICC departments on day-to-day business matters, including review of new business proposals and maintenance of compliance manuals and procedures.
  • Regulatory Knowledge: Stay up-to-date with the latest regulatory requirements and best practices in the financial industry, and apply this knowledge to ensure our business activities comply with all relevant laws and regulations.
  • Collaboration and Communication: Work closely with other compliance teams and stakeholders to identify and mitigate compliance risks, and provide regular updates on compliance matters to senior management.
Requirements
  • Education: University degree in a relevant field, such as law or finance.
  • Experience: At least 8 years of experience in compliance roles within financial institutions or regulatory authorities, with a strong background in Equities and FICC markets.
  • Skills: Excellent analytical and problem-solving skills, with the ability to communicate complex regulatory information effectively to non-technical stakeholders.


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