Compliance Officer (Central Compliance)(J19123)

职位描述

Job Description

• Handle licensing-related matters, enquiries, regulatory filings and reporting as required by the regulators and other stakeholders as necessary

• Assist in the preparation of internal and external reports in Chinese and English

• Assist in reviewing and monitoring internal policies and procedures to ensure compliance with regulatory requirements

• Assist in setting up necessary compliance policies and procedures

• Disseminate compliance-related information and publications to all relevant staff or departments

• Assist in liaising with regulators on compliance matters and regulatory enquiries/examinations

• Coordinate with compliance teams in the CICC Hong Kong office and other overseas subsidiaries to collect information and report to CICC mainland headquarters

• Perform ad-hoc research on laws and regulations

• Prepare compliance reports and presentations to business and compliance management

• Assist in ad-hoc projects

任职要求

Knowledge

• Good knowledge of the legal and financial framework in Hong Kong and Chinese Mainland

• Experience in compliance-related functions in the financial industry would be an advantage

Skills and Abilities

• Strong communication and written skills in both English and Mandarin

• Strong PC skills, proficient in MS Word, Excel and PowerPoint

• Good interpersonal skills, teamwork-oriented

• Well-organized with strong attention to detail

• Hardworking, energetic, pleasant and presentable

• Able to work under pressure in a fast-paced and challenging environment

• Demonstrate initiative, integrity, efficiency and forward-thinking capability

• Maintain strict business confidentiality at all times

Qualifications

• Bachelor’s degree or above in Finance / Accounting / Business / Law or related disciplines

• Minimum of 3 years of relevant experience, preferably in banks, securities, audit, or law firms

• Preferably with knowledge of SFC rules and requirements, and the operations of the securities, futures and financial industries and associated market practices

• Good command of spoken and written English and Chinese. Proficiency in Putonghua will be an advantage

Disclaimer

CICC is committed to fostering an environment of equity and diversity. We recognize the importance of fair treatment in all aspects of our business, from recruitment and hiring to professional development and advancement.

CICC aims to build an inclusive workplace that values the diverse backgrounds, ideas, and cultures of our employees. We strive to create an environment where every employee feels heard, supported,

and empowered to contribute to the company's growth and success. By leveraging our collective strengths, we aim to drive innovation and achieve excellence in the industry.

It is CICC’s responsibility to provide equal employment opportunities to all prospective employees, regardless of race, ethnicity, gender, age, disability, or any other characteristics protected by law.

The preceding job description has been designed to indicate the general nature and level of the work to be performed by employees within this classification. It is not intended to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.