Compliance Officer(J19391)

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 the 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 Operators 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 headquarters teams.

Job Description

The right incumbent shall be responsible for ensuring the overall CICCJP’s business activities comply with all relevant laws, rules and regulations of the governing authorities, as well as the internal policies of CICC Group and CICCJP.

Responsibilities

• Developing, improving, directing and executing the compliance related functions of the company
• 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 desk review, surveillance and other means
• Monitoring the KYC process, anti-money laundering compliance program & financial crimes prevention
• Establishing, implementing and maintaining the required compliance policies and procedures
• Liaising and collaborating with the relevant government and regulatory bodies, and related self-regulatory organizations on compliance issues
• Handling regulatory examination, and responding to regulatory enquiries
• Providing compliance trainings to business units and infrastructure support functions
• Handling any other compliance matters as required for the operation of CICCJP
• Handling any other ad hoc matters and projects as required by Headquarter

Skills and Abilities

• A good sense of primary markets and secondary markets compliance
• Capable of guiding the team and fostering collaboration, with sensitivity to the needs and perspectives across 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
• Professional with high integrity
• Fluent in Japanese. Strong written and verbal skills with the ability to communicate ideas clearly and concisely in English; Mandarin is not required but would be preferred.

Qualifications

• A good tertiary education in a relevant discipline and a postgraduate degree would be an advantage
• Relevant regulatory or professional qualifications are essential
• Experience in legal and compliance in the financial or securities services sector
• Member of Japan Securities Dealers Association is preferred
• Internal key person of Japan Securities Dealers Association is preferred
• Candidates whose company during his/her serving has undergone regulatory penalty will not be qualified for this role

Disclaimer

CICC is committed to fostering an environment of equity and diversity. We recognize the importance of fair treatment in all aspects of our business, from recruitment and hiring to professional development and advancement.

CICC aims to build an inclusive workplace that values the diverse backgrounds, ideas, and cultures of our employees. We strive to create an environment where every employee feels heard, supported, and empowered to contribute to the company's growth and success. By leveraging our collective strengths, we aim to drive innovation and achieve excellence in the industry.

It is CICC’s responsibility to provide equal employment opportunities to all prospective employees, regardless of race, ethnicity, gender, age, disability, or any other characteristics protected by law.

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.