Control Room Compliance Officer

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • China International Capital Corporation (HK) Ltd
  • 20 Apr 17

Control Room Compliance Officer of CP in HK

Job Description:


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
  • 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 compliance advisory services to business and functional units
  • Assist in reviewing and suitably revising internal policies and procedures
  • Assist in developing and conducting training sessions internally on 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 rules and regulations, including the SFC’s Code of Conducts, applicable to Hong Kong licensed corporations
  • In-house 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
  • A member of a reputable professional body is preferable