Compliance Officer (Secondary Markets Compliance)
Core
Providing compliance coverage and advisory to the CICC group's Equities, FICC, and Wealth Management business activities in Hong Kong, focusing on sales and trading.
Role type
Senior compliance officer (financial services)
Builds
Compliance policies, procedures, and risk controls for securities sales and trading
Domain
Financial services / Securities trading / Hong Kong regulatory environment
Required skills
Financial services compliance expertise, Regulatory legal knowledge, Trading rules familiarity, Policy and procedure development, Risk assessment, Regulatory liaison
Preferred skills
In-house compliance experience, Regulatory authority experience, Securities sales and trading background
Technologies
Compliance management systems, Regulatory databases
Responsibilities
Provide compliance advisory to business units, Review new business and product proposals, Maintain and update compliance manuals and policies, Handle compliance issues and incidents, Perform compliance risk and controls assessments, Liaise with regulators and internal auditors
Seniority
Mid-Senior, hands-on IC
