Compliance Officer (Monitoring & Surveillance)

Job Description

Reporting to the Head of Secondary Markets Compliance for Hong Kong, the right incumbent will be responsible for providing compliance coverage to the CICC group of companies (the “Firm”) for its public side business activities conducted from Hong Kong, with a focus on the monitoring & surveillance processes and functions on sales and trading activities. Key responsibilities include but are not limited to:

• Perform independent trade surveillance and monitoring, and electronic communication (“e-com”) surveillance

• Conduct independent second-level control reviews on selected business activities and processes to ensure compliance with applicable legal and regulatory requirements and Firm’s internal policies and procedures

• Handle regulatory requests and inquiries

• Provide regulatory advice to Equity, FICC and Wealth Management businesses in relation to trade surveillance

• Assist in updating all relevant compliance policies and procedures in relation to trade and e-com surveillance, as well as compliance control reviews to ensure alignment with applicable legal and regulatory requirements, best practices and Firm standards, and help draft new policies and procedures in accordance with the new regulatory requirements or business developments

• Provide compliance training to business units and infrastructure support functions in relation to trade and e-com surveillance matters

• Handle any other compliance matters and projects as assigned by the Head of Secondary Markets Compliance from time to time

Knowledge and Experience

• Some financial services compliance and regulatory legal background

• Familiar with the trading rules and other related regulatory requirements applicable to Hong Kong licensed corporations

• Prior working experience in in-house compliance or regulatory authority is preferred

Skills and Abilities

• A professional with high integrity

• Excellent verbal and written communication skills in both English and Chinese

• Strong analytical and critical thinking skills

• Technology-savvy and detail-oriented

• Fast learner and a strong team player

• Proactive and able to act independently

Qualifications

• University degree in Business, Finance, Economics or a related discipline

• 5–8 years of relevant experience in monitoring & surveillance compliance

Disclaimer

CICC is committed to fostering an environment of equity and diversity. We recognize the importance of fair treatment in all aspects of our business, from recruitment and hiring to professional development and advancement.

CICC aims to build an inclusive workplace that values the diverse backgrounds, ideas, and cultures of our employees. We strive to create an environment where every employee feels heard, supported, and empowered to contribute to the company's growth and success. By leveraging our collective strengths, we aim to drive innovation and achieve excellence in the industry.

It is CICC’s responsibility to provide equal employment opportunities to all prospective employees, regardless of race, ethnicity, gender, age, disability, or any other characteristics protected by law.

The preceding job description has been designed to indicate the general nature and level of the work to be performed by employees within this classification. It is not intended to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.