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Reporting to the Head of Compliance for Hong Kong, the right incumbent will be responsible for providng compliance coverage to the CICC group of companies (the "Firm") for its business activities conducted from Hong Kong, with a focus on the sales and trading business activities across businesses and products. Key responsibilities include but are not limited to:
Provide regulatory and compliance advice to the sales and trading business units including primarily the Equities Department, and Fixed Income, Commodities, & Currency Department (FICC), covering both the client business and proprietary trading.
Provide regular coaching and support to other public side Compliance officers including WM Compliance and AM Compliance.
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 of various sales and trading activities periodically.
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 all equities and FICC related inquries, invrdtigstion, and inspections from regulators.
Handle any other compliance matters, incidents, and projects as required for the operation of the Firm's businesses in Hong Kong.
Knowledge and Experience
Strong financial services compliance or regulatory legal background
Prior experience in providing inhouse business compliance advice for equities and/or FICC is manadatory, regulatory legal coverage for similar businesses is an advantage
Skills and Abilities
A professional with high integrity
Excellent verbal and written communication skills, both in English and Putonghua
Strong analytical skills, thoughtful
Proactive and able to act independently
Good team work skills
Minimum 10 years of relevant experience in financial instution
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.
Internal Number: 5494355
About China International Capital Corporation (HK) Ltd
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