Job ref no.: CT3120081-01#1848

Control Room Compliance Officer

China International Capital Corporation (HK) Ltd

Job Description:


Reporting to the Compliance Counsel in Hong Kong Compliance,the job responsibilities associated with this role are expected to include, but are not limited to, the following:


  • Focus on the Control Room Operations processes
  • Help strengthen the administration of the Firm’s Chinese Walls system
  • Assist in monitoring Chinese Wall issues pertaining to the businesses
  • Conduct compliance reviews, and performs ongoing monitoring of procedures, ensuring that regulations and company policies are adhered to
  • Assist in reviewing research reports from a regulatory perspective
  • Provide Control Room Compliance advisory services to business and functional units
  • Assist in reviewing and suitably revising internal Control Room Compliance related policies and procedures
  • Assist in developing and conducting training sessions internally on Control Room compliance related issues
  • Work closely with Compliance Control Room colleagues in other locations to ensure the proper functioning of the Firm’s Chinese Walls as a whole



  • Familiar with the relevant rules and regulations, including the SFC’s Code of Conducts, as well as the industry practices applicable to Hong Kong licensed corporations
  • In-house Control Room Compliance experience or external audit experience in the financial services industry preferred


Skills and Abilities

  • A self-starter with keen initiative and excellent interpersonal skills
  • A good team player
  • Strong analytical and evaluative skills, attentive to details
  • Good communication skills in English, fluent in Putonghua preferred
  • Familiar with Hong Kong regulatory issues and development will be an added advantage



  • University degree in Legal, Accounting, Finance or related disciplines
  • Minimum 5 years of relevant experience in financial instution with at least 2 years in the Control Room Compliance area
  • A member of a reputable professional body is an advantage



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#1848
  • N/A
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Non-management level
  • Degree