Compliance Officer (Primary Markets)
Core
Provide compliance coverage for CICC's Investment Banking, Capital Markets, and Research business activities conducted from Hong Kong, including regulatory advice, policy maintenance, and control room support.
Role type
Senior IC compliance officer (primary markets)
Builds
Compliance policies, procedures, and regulatory advisory services for the Firm's Hong Kong operations
Domain
Financial services / Investment Banking / Capital Markets
Required skills
regulatory legal background, private side compliance experience, policy development, independent desk reviews, regulatory reporting, compliance training, stakeholder management
Preferred skills
in-house compliance experience in a financial center, lawyer or accountant qualification
Technologies
compliance management systems, regulatory databases
Responsibilities
Provide regulatory advice to IB, CM, and Research teams; Review new business initiatives for regulatory compliance; Maintain and update compliance manuals and policies; Perform independent desk reviews of investment banking activities; Participate in Control Room Operations processes; Review research reports from a regulatory perspective; Manage contacts and relationships with regulators
Seniority
Mid-Senior, hands-on IC
