China International Capital Corporation (Japan) Limited ("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 is hiring a Compliance Officer to 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.

This position is on-site and with working location in Tokyo, Japan

Job Responsibilities

• Developing, improving, directing and executing the compliance related functions of the CICC Japan
• 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 CICC Japan
• Communicating 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, Japan

Knowledge

• A strong grasp of the regulatory structure of the financial services market, exchanges, regulators and key industry players, with strong relationships across the industry
• An innate understanding of all relevant government regulations and other regulatory requirements in relation to securities and investment banking businesses, especially thorough understanding on the Financial Instruments and Exchange Act, Act on Prevention of Transfer of Criminal Proceeds and relevant laws and regulations are expected
• A good sense on securities business, both primary markets and secondary markets with its middle/back office activities and the over all compliance framework
• Having sufficient experience in cross-border transactions targeted at institutional and/or professional investors and corporates, etc.

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

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 to be performed by employees within this classification. It is not intended to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.