Job Responsibilities:

• Responsible for providing primary compliance coverage to Control Room and other general compliance support;
• Clearance of research and daily reports from Compliance’s perspective;
• Provide guidance and review pre-deal research. This involves liaising with Research, Global Capital Markets and/or internal/external legal counsel;
• Monitor employee trade data to determine compliance with the Firm's personal trading policies and departmental requirements;
• Check and approve employee personal trading requests in accordance with the Firm's personal trading policies;
• Develop, update and implement compliance policies and procedures, including departmental procedural manuals;
• Deliver compliance training;
• Assist in outside interests approvals and monitoring;
• Make short-sell position reports to the SFC for the firm;
• Assist in maintenance of conflicts registrar and other control lists;
• Provide after office hours support as required. 

Job Requirements:

• Bachelor Degree holder of Law, Accounting, Finance or relevant disciplines;
• 3 to 5 years of experience in IBD Compliance, Research Compliance or Control Room;
  Knowledge in research and investment banking products;
• Excellent interpersonal skills and ability to interact with people from different areas at all levels of seniority;
• Ability to recommend solutions as appropriate;
• Detail oriented, organised, proactive and responsible. Team player. The ability to work in a pressurised environment with tight timelines required. Good presentation skills;
• Proficient in Chinese and English.

We offer attractive remuneration and benefits including 5-day working week to the right candidates. Interested parties, please send your full resume including your CURRENT and EXPECTED salary to Head of Human Resources Division, China Merchants Securities International Company Limited, 17/F., Tower B, Manulife Financial Centre, 231 Wai Yip Street, Kwun Tong, Kowloon or by email. 

Personal data provided will be used by us for recruitment and related purposes, which is strictly in accordance with the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) for Applicants for Employment. Applicants who are not contacted within 6 weeks may consider your applications unsuccessful and the personal data collected will be destroyed after 2 years or such other period as prescribed by the applicable laws.

China Merchants Securities International Co., Limited (“we”), wholly owned by China Merchant Securities Company Limited (Stock Code: 6099.HK/600999.SH), is principally engaged in the provision of a wide range of financial services including brokerage, corporate financing, sales and trading, leveraged and structured lending, asset management, private equity, global commodities and futures. We are searching high caliber talents to help develop and take part in the growth of our business.