Hong Kong Job Openings

CICC

Compliance Officer (Secondary Markets Compliance)

FULL TIME

November 1, 2024

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 Firm’s 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.

New Job Alerts

Chinese Recreation Club, Hong Kong

Western Restaurant - Head Chef

FULL TIME

November 19, 2024

View Job Description

Hong Kong Health Check and Medical Diagnostic Group Limited

Enrolled Nurse (登記護士) - 佐敦

Jordon

FULL TIME

November 19, 2024

View Job Description

嘉捷香港有限公司 Dusservice Hong Kong Ltd.

京士柏住宅/會所清潔員 (6天工作 7:30am - 4:30pm / 8am - 5pm)

Yau Ma Tei

FULL TIME

November 19, 2024

View Job Description

POP MART (HONG KONG) HOLDING LIMITED

POP MART資深/全職店員 - Senior Sales Associate / Sales Associate (將軍澳PopCorn/觀塘APM)

FULL TIME

November 19, 2024

View Job Description

Hong Kong Health Check and Medical Diagnostic Group Limited

Health Care Assistant 健康服務助理 - 沙田

Sha Tin

Alibaba Cloud Intelligence-Compliance Senior Specialist-Hong Kong SAR

October 9, 2024

View Job Description

See What’s New: CICC Job Opportunities

CICC

Legal Counsel (FICC)

FULL TIME

November 19, 2024

View Job Description

Hong Kong Health Check and Medical Diagnostic Group Limited

Health Care Assistant 健康服務助理 - 沙田

Sha Tin

FULL TIME

November 19, 2024

View Job Description