Compliance Officer

Job Description

The right incumbent will be part of the Hong Kong Compliance team of the CICC group of companies (the “Firm”) , with a focus on providing compliance coverage for the asset management and wealth management activities. Key responsibilities include but are not limited to:

 

• Provide regulatory advice to the asset management and wealth management business units
• Assist his/her supervisor in reviewing new business initiatives from a regulatory, best practice and Firm standard perspective
• Assist in maintaining and updating all relevant compliance manuals, policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standards, and in issuing new policies and procedures in light of regulatory or business developments
• Perform independent desk reviews and monitoring of business activities
• Provide compliance training to business units and infrastructure support functions
• Help manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive
• Handle any other compliance matters as required for the operation of the Firm’s businesses in Hong Kong

 

Knowledge and Experience

• Strong regulatory compliance knowledge and experience
• Minimum 5 years of relevant HK regulatory compliance experience in an investment bank or a securities regulatory authority

 

Skills and Abilities

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

 

Qualifications

• University degree in a finance or legal discipline