Compliance Officer (Primary Markets)

Job Descriptions

岗位描述

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:

该职位向中金公司香港一级市场合规负责人汇报，将负责为中金公司集团（以下简称“公司”）在香港开展的投行、资本市场及研究业务提供合规支持，同时协助香港控制室的相关职能与工作。主要职责包括但不限于：

• Providing regulatory advice to the Investment Banking Department, Capital Markets Department and Research teams

为投资银行部、资本市场部及研究团队提供监管合规建议

• Reviewing new business initiatives from a regulatory, best practice and Firm standard perspective

从监管要求、行业最佳实践及公司标准的角度，审核新业务方案

• 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

维护并更新相关合规手册、政策及流程，确保其充分反映适用的法律法规、最佳实践及公司标准，并根据监管动态或业务发展需要，制定和发布新的政策与流程

• Performing independent desk reviews and monitoring of investment banking and other Private Side business activities

对投资银行及其他私人业务开展独立的交易台审查与监控

• Participating in Control Room Operations processes

参与控制室运营流程

• Providing Control Room Compliance advisory services to business and functional departments

为业务部门及职能部门提供控制室合规咨询服务

• Reviewing research reports from a regulatory perspective

从监管角度审核研究报告

• Providing compliance training to business units and infrastructure supporting functions

为业务单元及后台支持部门提供合规培训

• Helping manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive

协助维护与监管机构的联系与合作关系，确保与监管机构的沟通保持公开、建设性

• Handling any other compliance matters as required for the operation of the Firm’s businesses in Hong Kong

处理公司香港业务运营所需的其他合规事务

Knowledge and Experience 知识与经验

• Strong financial services compliance or regulatory legal background

具备扎实的金融服务合规或监管法律背景

• Minimum 3 years of relevant HK compliance experience in providing private side compliance coverage in an investment bank or a securities regulatory authority

至少3年香港合规相关经验，曾在投资银行或证券监管机构负责私方合规工作

• Prior experience in providing in-house compliance or regulatory legal coverage for investment banking business in a financial center will be an added advantage

曾在金融中心为投资银行业务提供内部合规或监管法律支持者优先

Skills and Abilities 技能与能力

• A professional with high integrity

为人正直，职业操守良好

• Excellent verbal and written communication skills with fluency in speaking Cantonese, English and Mandarin

优秀的口头及书面沟通能力，粤语、英语及普通话流利

• Strong analytical skills, thoughtful

分析能力强，思维缜密

• Detailed-oriented

注重细节

• Technology-savvy

熟悉技术工具

• Fast learner

学习能力强

• Proactive and able to act independently

积极主动，能够独立开展工作

• Good teamwork skills

良好的团队合作能力

Qualifications 任职资格

• University degree in a legal or finance discipline

本科及以上学历，法律或金融相关专业

• A qualified lawyer or accountant would be an advantage

具备律师或会计师资格者优先

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.