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Reporting to the Head of Investment Banking ("IB") and Capital Markets ("CM") Compliance for Hong Kong, the right incumbent will be responsible for providng compliance coverage to the CICC group of companies (the "Firm") for its IB and CM business activities conducted from Hong Kong. Key responsibilities include but are not limited to:
Provide regulatory advice to the Investment Banking Department and Capital Markets Department
Review new business initiatives from a regulatory, best practice and Firm standard perspective
Maintain 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
Perform independent desk reviews and monitoring of investment banking and other Private Side business activities
Provide compliance training to business units and infrastructure support functions
Help manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive
Handle any other compliance matters as required for the operation of the Firm's businesses in Hong Kong
Knowledge and Experience
Strong financial services compliance and regulatory legal background
Minimum 5 years of relevant HK regulatory compliance experience in an investment bank or a securities regulatory authority
Prior experience in providing inhouse compliance or regulatory legal coverage for investment banking business in one of the world's leading financial centres an added advantage
Skills and Abilities
A professional with high integrity
Excellent verbal and written communication skills with fluent in speaking Cantonese, English and Mandarin
Strong analytical skills, thoughtful
Proactive and able to act independently
Good team work skills
University degree in a legal or finance discipline