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Compliance Officer

CICC London, United Kingdom
Posted 1 day ago Permanent Competitive
Y
Posted by
Yifei Wang
Recruiter
CICC is looking for a generalist to join the Compliance team to (i) assist the management to ensure that the overall activities of CICC’s UK office will comply with all the relevant and applicable laws, regulations and regulatory rules; (ii) operate and enforce the company’s internal compliance policies and procedures; (iii) facilitate the company’s growth strategy and expansion plans on new products and into new territories.

The responsibilities associated with this role are expected to include but not limited to:

  • Provide compliance advisory services to management, business and functional units in relation to UK and EU regulatory regimes
  • Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date
  • Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to
  • Monitor business activities and put in place specific measures as necessary
  • Monitor UK and EU regulatory developments relevant and applicable to the firm and provide impact analysis, work on projects to implement any changes that may be required
  • Ensure that the AML systems and controls meet regulatory requirements and are complied with
  • Ensure that the firm complies with the capital requirements under CRD/CRR and IFPR
  • Handle conflicts of interest analysis and management
  • Work on compliance operations such as gifts and entertainment registration, personal account dealing and outside business interests approval, handle KYC and client due diligence etc. that may be required
  • Prepare internal reports and management information, assist on filing regulatory reports
  • Assist on developing and delivering staff training

Experience

  • Minimum 5 years of relevant UK/EU compliance experience in an investment bank or securities firm
  • Experience in relation to securities brokerage and corporate finance preferred
  • Experience and good understanding of CRD/CRR and IFPR implementation preferred
  • Familiar with relevant EU and UK regulatory rules applicable to FCA regulated activities

Skills and Abilities

  • A self-starter with keen initiative and excellent interpersonal skills
  • A professional with high integrity
  • Able to work with a minimum level of supervision
  • Strong analytical and evaluative skills, attentive to details
  • Good communication skill and a good team player
  • Chinese language abilities are desirable
  • Good understanding of EU/UK regulatory issues and developments
  • General broad understanding of financial products, brokerage and investment banking services

Qualifications

  • University degree in law, economics and accounting/finance disciplines
  • Qualified lawyer or law degree holder desirable but not essential
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