About this role
Key Areas of Responsibilities
• Conduct Compliance Monitoring and Surveillance reviews to assess firm’s ongoing compliance with Key Regulatory Requirements; • Participate to in-depth reviews of compliance risks and controls in accordance with the Compliance Testing plan; • Prepare Regulatory Reporting including large shareholding reporting, short position, takeover code, or the bank holding company act; • Participate to transaction approval process by reviewing transactions against a set of compliance criteria; • Review electronic communications alerts as part of the e-com surveillance program; • Assist in responding to regulatory queries; • Report information to management, update incident log and employee conduct breach log • Assist in ad-hoc tasks as needed within the team
Requirements
• Bachelor's degree and above in relevant field • Minimum 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 • Excellent command of / fluent in both spoken and written English,Cantonese, and Mandarin • Working relationships and experience with local regulators will be highly regarded
Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.