Compliance Officer(J17825)

China International Capital Corporation (Japan) Limited (“CICCJP”)

CICCJP is a subsidiary under the China International Capital Corporation Limited (“CICC”) which is a leading investment bank in People’s Republic of China. CICC and its group companies have overseas offices in major financial centers to conduct securities businesses globally including Tokyo, Japan. CICCJP is registered as Type 1 and Type 2 Financial Instruments Business Operator and conducts mainly Global Markets and Investment Banking businesses.

CICCJP’s Legal and Compliance is a part of CICC’s Global Legal and Compliance team and it works very closely with its Beijing and Hong Kong headquarter teams.

Job Description

Reporting to the Head of Legal and Compliance in CICCJP, the right incumbent shall be responsible for ensuring the business activities of the company will comply with all relevant laws, rules and regulations of the governing authorities, as well as the internal policies of CICC Group and CICCJP. Key responsibilities include but are not limited to:

Responsibilities

• Developing, improving, directing and executing the compliance related functions of the CICCJP
• Providing compliance advisory services to all business units and infrastructure support functions on all issues relating to day to day business operations
• Reviewing new business and product proposals from a regulatory, best practice, and CICC group standard’s perspective
• Monitoring business operation in accordance with the relevant regulatory and compliance requirements through direct communication, desk review, surveillance and other means
• Monitoring the KYC process, anti-money laundering compliance program & financial crimes prevention
• Assisting in liaising and collaborating with the relevant government and regulatory bodies, and related self-regulatory organizations on compliance issues
• Assisting in handling regulatory examination, and responding to regulatory enquiries
• Assisting in providing compliance trainings to business units and infrastructure support functions
• Handling any other compliance matters as required for the operation of CICCJP
• Communicting closely with overseas colleagues including Beijing and Hong Kong for periodical and ad hoc reporting, etc.
• Handling any other ad hoc matters and projects as instructed by the Head of Legal and Compliance, JP

Disclaimer: 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.

Skills and Abilities

• A good sense on primary markets and secondary markets compliance
• Able to work as part of a team and be sensitive to concerns of different parts of the organization
• Able to address the overall picture whilst demonstrating a detailed approach to individual transactions
• Highly organized and confident
• Good working attitude, team work and able to work under pressure
• Self-starter, independent and able to take the initiative
• A professional with high integrity
• Native in Japanese. Strong written and verbal skills with the ability to communicate ideas clearly and concisely in English. Expected to participate and speak out in the meetings with overseas colleagues

Qualifications

• Bachelor’s degree or above
• Minimum of 5-years experience in legal and compliance in the Type 1 Financial Instruments Business Operator
• Holding relevant regulatory or professional qualifications, with Class-1 Sales Representative (Qualification) of Japan Securities Dealers Association and Regular Member's Internal Administrator (Qualification) of Japan Securities Dealers Association are essential
• Never been taken any administrative action against by related authorities in the past