Responsibilities

• Mainly assist the Head of Legal and Compliance on all compliance related matters in relation to IBD business
• Oversee IBD business and ensure to (i) comply with requirements of Disclosure of Interests under SFO and the relevant SFC Codes; and (ii) handle research and conflict clearance; 
• Work closely with our business units and provide compliance advise on the IBD related projects; 
• Keep abreast of the latest legal and regulatory requirements that apply to the company, and promote compliance awareness and compliance culture (by preparing compliance training materials, conducting compliance trainings, etc.);
• To identify and anticipate potential risk on regulatory matters and impacts on the financial market operations;
• Be able to mitigate regulatory risk and breaches with recommendations;
• Work with senior stakeholders to ensure efficiency in compliance controls and measure;
• Build and maintain strong relationships with regulatory bodies;
• Present, co-ordinate and provide assistance for Compliance trainings;
• Other ad hoc tasks and responsibilities as required from time to time.

 Requirements

• Degree holder in Law, Finance, Accounting, Business or related discipline;
• 5 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities. Less experience will be considered as officer;
• Familiar with Hong Kong securities regulatory requirements and financial markets compliance management including SFO and Listing Rules;
• A good team player, quick learner, self-motivated, strong sense of responsibility and discipline with good communication skills;
• Excellent command of spoken and written English and Chinese (including Mandarin).

Based in Hong Kong, China Industrial Securities International Financial Group Limited (6058.HK) plays a critical and unique role to the globalization strategy of its controlling shareholder, the Shanghai-based Industrial Securities Co., Ltd. (601377.SH).