Wealth Management-Operation Specialist

Job Responsibilities
1. Review operating procedures to ensure compliance with internal guidelines and relevant regulations, make constructive and practical suggestions to enhance operational workflow and reduce operational risks.

2. Work closely with Compliance Officers in HK, and enhance the sales team's compliance awareness by organizing relevant training sessions.

3. Monitor operational, legal and compliance risks related to sales activities, assist in handling compliance and risk incidents within team, and provide comprehensive suggestions to ensure the delivery of quality WM services.

4. Assist in daily business operations and activities regarding coordination, organization, and communication with related departments, sales and back office, as well as head office on different issues.

5. Any other ad-hoc works required.

Job Requirement:
1. Bachelor’s degree or above

2. Finance, Business Administration, Information Technology, Operation Management or related discipline.

3. Qualified with a Type 1 license under the SFC is preferred.

4. Minimum 3-5 years of relevant experience ideally supporting operations or internal control, preferably in PB/ PWM department.

5. Good knowledge of the industry internal and external guidelines and rules.

6. Patient and responsible, able to multi-tasking.

7. Good command of English and Chinese, fluency in Putonghua is preferred.
 

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.