Compliance Officer (Secondary Markets Compliance)

Job Description

Reporting to the Head of Secondary Markets Compliance, the right incumbent will be responsible for providng 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 Firms businesses in Hong Kong

Knowledge and Experience

• Strong financial services compliance or regulatory legal background
• Excellent knowledge of Equities and FICC products related regulations and exchange trading rules
• 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 team work skills

Qualifications

• University degree
• At least 8 years of relevant compliance experience in providing public side compliance in financial instutions and/or regulatory authorities

Disclaimer

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