Compliance Officer (Secondary Markets Compliance)

Job Description

Reporting to the Head of Secondary Marketspliance, the right incumbent will be responsible for providngpliance coverage to the CICC group ofpanies (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 :

• Providingpliance 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 relevantpliance 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 otherpliance teams on AML, licensing and surveillance matters.
• Handlingpliance issues and incident in conjunction with relevant stakeholders
• Identifying and carrying out the necessary actions to provide solutions needed to discharge effectivepliance advice to the business.
• Performing regularpliance risk and controls assessments
• Providingpliance training to business units and infrastructure support functions
• Liaising with regulators and internal auditors on various requests in relation topliance issues
• Managing contacts and relationships with regulators, ensuring thatmunications with regulators are open and constructive
• Handling any otherpliance matters as required for the operation of the Firm’s businesses in Hong Kong

Knowledge and Experience

Skills and Abilities

Qualifications

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 theprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.