About this role
Key Areas of Responsibility
• Primarily responsible for advising, monitoring, and overseeing the equity and derivatives business • Supervising compliance testing, risk inventory maintenance, and risk assessment • Managing information control in general, including personal data, transactional data, and other proprietary information such as trade secrets • Assisting different lines of business with cross-selling products by providing advice on laws and regulations and creating robust control processes • Reviewing research and sales memos, and solicitation materials, such as pitch books • Advising the Client Onboarding team on KYC requirements • Assisting the Japan Head of Compliance with day-to-day operations • Supporting other team members with daily tasks such as regulatory filings and monitoring Requirements
• Master’s degree or higher in law, finance, business, or economics • A minimum of 5 years of relevant experience in legal or compliance functions • Legal qualification is an advantage • Candidates with less experience will be considered for Associate Director • Knowledge of operations, finance, or IT is an advantage • At least 3 years of work experience in financial institutions • Strong problem-solving and multitasking skills • Willing to take on new challenges; proactive, ready to get involved, and able to initiate any risk-control projects deemed necessary, such as those related to operational risk, information control, and monitoring • Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, commodities, and funds, is an advantage • A team player, proactive and inquisitive, who can manage their ego • Fluent in both spoken and written English • Fluency in Chinese is preferred
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