Compliance Officer (Primary Markets Compliance)

Job Descriptions

Reporting to the Head of Primary 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 IB, CM, and Research business activities conducted from Hong Kong, as well as supporting the Hong Kong Control Room functions and activities. Key responsibilities include but are not limited to:

• Providing regulatory advice to the Investment Banking Department, Capital Markets Department and Research teams
• Reviewing new business initiatives from a regulatory, best practice and Firm standard perspective
• 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 issuing new policies and procedures in light of regulatory or business developments
• Performing independent desk reviews and monitoring of investment banking and other Private Side business activities
• Participating in Control Room Operations processes
• Providing Control Room Compliance advisory services to business and functional departments
• Reviewing research reports from a regulatory perspective
• Providing compliance training to business units and infrastructure supporting functions
• Helping manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive
• Handling 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 3 years of relevant HK compliance experience in providing private side compliance coverage in an investment bank or a securities regulatory authority
• Prior experience in providing in-house compliance or regulatory legal coverage for investment banking business in a financial center will be an added advantage

Skills and Abilities

• A professional with high integrity
• Excellent verbal and written communication skills with fluency 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

Qualifications

• University degree in a legal or finance discipline
• A qualified lawyer or accountant would be an advantage

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.