Compliance Officer(IBD Coverage)

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • China International Capital Corporation (HK) Ltd
  • 22 Feb 18 2018-02-22

Compliance Officer of Legal and Compliance Department in Hongkong

Job Description

Reporting to the Head of Investment Banking (“IB”) and Capital Markets (“CM”) Compliance for Hong Kong, the right incumbent will be responsible for providng compliance coverage to the CICC group of companies (the “Firm”) for its IB and CM business activities conducted from Hong Kong. Key responsibilities include but are not limited to:


  • Provide regulatory advice to the Investment Banking Department and Capital Markets Department
  • Review new business initiatives from a regulatory, best practice and Firm standard perspective
  • Maintain and update all relevant compliance manuals, policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standards, and issue new policies and procedures in light of regulatory or business developments
  • Perform independent desk reviews and monitoring of investment banking and other Private Side 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 financial services compliance and regulatory legal background
  • Minimum 5 years of relevant HK regulatory compliance experience in an investment bank or a securities regulatory authority
  • Prior experience in providing inhouse compliance or regulatory legal coverage for investment banking business in one of the world’s leading financial centres an added advantage


Skills and Abilities

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



  • University degree in a legal or finance discipline
  • Qualified lawyer or accountant an advantage