Compliance Associate Compliance Associate …

China International Capital Corporation (UK)
in London, England, United Kingdom
Permanent, Full time
Last application, 29 Mar 20
Negotiation
China International Capital Corporation (UK)
in London, England, United Kingdom
Permanent, Full time
Last application, 29 Mar 20
Negotiation
Compliance Associate of Legal and Compliance Department in London

CICC is looking for a junior member of the Compliance team to assist the Compliance Officer to ensure that the overall activities of CICC’s UK office will comply with all relevant and applicable laws, regulations and regulatory rules as well as the company’s internal policies and procedures. The responsibilities associated with this role are expected to include but not limited to:

 

* Provide compliance advisory services to management, business and functional units

* Maintain compliance policies, procedures and processes to ensure that they are adequate and up-to-date

* Perform compliance monitoring and reviews to ensure that policies, procedures and practices are being followed and adhered to

* Monitor regulatory developments and provide impact analysis

* Handle queries and administration of Gifts and Entertainment Register, Personal Account Dealing, Outside Business Interests

* Assist on handling matters relating to financial crime, including KYC, AML, anti-bribery and corruption

* Prepare internal reports and management information, assist on filing regulatory reports

* Assist on developing and delivering staff training

 

Experience

* 2 years of relevant UK compliance experience in an investment bank or securities firm preferred but not essential

* Experience in relation to securities brokerage, corporate finance preferred

* Familiar with relevant EU and UK rules and regulations applicable to FCA regulated activities

 

Skills and Abilities

* A self-starter with keen initiative and excellent interpersonal skills

* Able to work with a minimum level of supervision

* Strong analytical and evaluative skills, attentive to details

* Good communication skill and a good team player

* Excellent in both English and Chinese languages

* Familiar with EU/UK regulatory issues and developments

 

Qualifications

* University degree in law, economics and accounting/finance disciplines

* Qualified lawyer or law degree holder desirable but not essential

 

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.

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