工作职责：

Job Description
Reporting to the Head of Compliance for Hong Kong, the right incumbent will be responsible for providng compliance coverage to the CICC group of companies (the “Firm”) for its business activities conducted from Hong Kong, with a focus on the asset management and wealth management activities. Key responsibilities include but are not limited to:

? Provide regulatory advice to the wealth management and the sell side business units
? Review new business initiatives from a regulatory, best practice and Firm standard perspective
? Maintain and update all relevant compliance 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
? Perform independent desk reviews and monitoring of business activities
? Perform regular compliance risk and controls assessments
? Provide compliance training to business units and infrastructure support functions
? Help manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive
? Handle any other compliance matters as required for the operation of the Firm’s businesses in Hong Kong

任职资格：

Knowledge and Experience
? Strong regulatory compliance knowledge and experience
? Minimum 8 years of relevant HK regulatory compliance experience in an investment bank or a securities regulatory authority

Skills and Abilities
? A professional with high integrity
? Excellent verbal and written communication skills
? Fluent in spoken Cantonese, English and Mandarin
? Strong analytical skills, thoughtful
? Detailed-oriented
? Technology-savvy
? Fast learner
? Proactive and able to act independently
? Good team work skills

Qualifications
? University degree in a finance or legal discipline
? Qualified lawyer or accountant an advantage