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Reporting to the Head of Compliance for Hong Kong and the Head of Primary Market Compliance for Hong Kong, the right incumbent will be responsible for providng compliance coverage to the CICC group of companies (the "Firm") for its private enquity business activities. Key responsibilities include but are not limited to:
providing regulatory advice to the private equity business line(s) in the Firm;
co-ordinating information and procuring/monitoring workflow in private equity fund company formation, on-going obligation compliance, anti-money laundering checks, record keeping and general intenal control/regulatory compliance matters;
reviewing new business initiatives from a regulatory, best practice and Firm standard perspective;
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;
performing independent desk reviews and monitoring of private equity business and other private side business activities;
providing compliance training to business units and infrastructure support functions;
helping manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive; and
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 and regulatory legal background
Knowledge and experience working in/with offshore (Cayman/BVI) law firm preferrable
Minimum 3 years of relevant regulatory compliance experience in providing private side compliance coverage in an investment bank, a private equity firm, a family office, a law firm or a securities regulatory authority
Prior experience in providing inhouse compliance or regulatory legal coverage for private equity 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 fluence 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, accounting or finance discipline
Qualified lawyer or accountant (in any jurisdiction) an advantage
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.