Key Areas of Responsibilities - Execute compliance monitoring / surveillance reviews to assess ongoing compliance with regulatory requirements
- Provide detailed reporting of findings and remediation suggestions to Head of Retail Brokerage and Wealth Management Compliance and/or the relevant Compliance advisory teams
- Support business advisory services and regulatory reporting matters
- Support compliance issues (whether in relation to CLSA products, businesses or otherwise) in the best interests of the Company and its clients
- Conduct investigations into potential breaches of CLSA policies by staff where necessary
- Organize and prepare training courses
- Assist to develop policies and procedures
- Handle ad hoc tasks assigned by team head
Requirements - Bachelor or above degree in Law, Accounting, Finance or related fields
- 2-3+ years within a securities / investment banking firm or big four / consulting firm or regulatory body, in a compliance testing or internal audit capacity
- Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA)
- Strong communication and interpersonal skills
- Fluent English, Mandarin and Cantonese
- Working relationships and experience with local regulators will be highly regarded
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