Job ref no.: CT3120081-01#1847

Compliance Officer-AML

China International Capital Corporation (HK) Ltd

Job Description

Reporting to the Head of Compliance for Hong Kong, the right incumbent will be responsible for providing regulatory compliance coverage to the CICC group of companies (the “Firm") for its business activities conducted from Hong Kong, with a focus on the sales and trading business activities and the anti-money laundering (AML), know your clients (KYC), and sanction Compliance related functions. Key responsibilities include but are not limited to:


  • Provide regulatory advice to the Equity, FICC and Wealth Management Departments and on AML and sanction Compliance related matters
  • Review new business initiatives from a regulatory, AML, KYC, and sanction Compliance, 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
  • Work with other team members on independent desk reviews and AML related monitoring of Public Side business activities
  • Provide compliance training to business units and infrastructure support functions
  • Work with other team members to handle customer complaints and regulatory enquiries
  • Maintain and update proforma client account documentation to reflect changes in regulatory requirements
  • Help manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive.
  • Handle any other compliance matters and projects as required for the operation of the Firm’s businesses in Hong Kong.


Knowledge and Experience

  • Strong financial services compliance and regulatory legal background
  • Prior experience in providing in-house compliance or regulatory legal coverage for securities business in one of the world’s leading financial centres or financial institutions


Skills and Abilities

  • A professional with high integrity
  • Excellent verbal and written communication skills in both English and Chinese
  • Strong analytical skills, thoughtful
  • Detailed-oriented
  • Fast learner
  • Proactive and able to act independently
  • Good team work skills


  • University degree in a legal or regulatory related discipline
  • At least 5 years relevant experience in regulatory, AML or KYC Compliance



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

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More job information
Job ref no. CT3120081-01#1847
  • N/A
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Non-management level
  • Degree