Senior Compliance Officer, Secondary Markets (HK)

CICC; Hong Kong; On-site; HKD 900,000 - 1,700,000; Full time

Job summary

CICC is seeking an experienced compliance professional to provide advisory coverage for its Equities, FICC and Wealth Management activities in Hong Kong. The role focuses on day-to-day regulatory guidance, policy updates, and cross-functional collaboration.

The ideal candidate has 6+ years in financial services compliance, strong HK regulatory knowledge, and the ability to work independently while coordinating with regulators and internal teams.

Qualifications

• Strong financial services compliance background.
• Familiar with trading rules and regulatory requirements in HK licensed corporations.
• In-house compliance coverage for securities sales/trading is a plus.

Responsibilities

• Provide compliance advisory to Equities, FICC and Wealth Management departments on day-to-day issues.
• Review new business and product proposals for regulatory and Firm standards.
• Maintain and update compliance manuals, policies and procedures to reflect requirements.
• Collaborate with AML, licensing and surveillance teams.
• Handle compliance issues with stakeholders and provide solutions.

Skills

Regulatory compliance

Analytical skills

Communication

Teamwork

Tech savvy

Education

Bachelor's degree or above in Business/Finance/Economics

Job description

CICC is seeking an experienced compliance professional to provide advisory coverage for its Equities, FICC and Wealth Management activities in Hong Kong. The role focuses on day-to-day regulatory guidance, policy updates, and cross-functional collaboration.

The ideal candidate has 6+ years in financial services compliance, strong HK regulatory knowledge, and the ability to work independently while coordinating with regulators and internal teams.