Compliance Officer (Secondary Markets Compliance)

Job Descriptions

Reporting to the Head of Secondary Markets Compliance, the right incumbent will be responsible for providing compliance coverage to the CICC group of companies (the “Firm”) for its Equities, FICC and Wealth Management business activities conducted from Hong Kong, with a focus on the sales and trading business activities across products. Key responsibilities include but are not limited to:

• Providing compliance advisory to the Equities, FICC and Wealth Management departments and other functions on all issues relating to day-to-day business
• Reviewing new business and product proposals from a regulatory, best practice and Firm standard perspective
• Maintaining 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
• Working closely with other compliance teams on AML, licensing and surveillance matters.
• Handling compliance issues and incident in conjunction with relevant stakeholders
• Identifying and carrying out the necessary actions to provide solutions needed to discharge effective compliance advice to the business.
• Performing regular compliance risk and controls assessments
• Providing compliance training to business units and infrastructure support functions
• Liaising with regulators and internal auditors on various requests in relation to compliance issues
• Managing 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 or regulatory legal background
• Familiar with trading rules and other regulatory requirements applicable to Hong Kong licensed corporations
• Prior experience in providing inhouse compliance or regulatory legal coverage for securities sales and trading business is an advantage

Skills and Abilities

• A professional with high integrity
• Excellent verbal and written communication skills
• Strong analytical skills, thoughtful
• Detailed-oriented
• Technology-savvy
• Fast learner
• Proactive and able to act independently
• Good teamwork skills

Qualifications

• University degree in Business, Finance, Economics or a related discipline
• At least 3 years of relevant compliance experience in providing public side compliance in financial institutions and/or regulatory authorities

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.