Compliance Officer, Compliance

Position Description

CITIC CLSA’s Compliance Department is responsible for ensuring that CITIC CLSA complies with applicable laws, rules, and regulations. This includes providing advisory services to CITIC CLSA businesses, training employees on regulatory requirements applicable to their activities, and monitoring CITIC CLSA’s ongoing compliance with requirements.

The Compliance Officer will work under our Central Compliance team and participate in licensing, SFC regulatory inquiries including 181/182 requests, ad hoc investigations, surveys, and training.

Key Areas of Responsibilities

• Handling SFC licensing matters, including license applications, terminations, notifications, and submission of Annual Returns in a timely manner.
• Following up with new joiners to complete their compliance declarations upon joining and on an annual basis.
• Handling various notifications including incidental or suspicious violations and ensuring SFC notification requirements are followed.
• Maintaining internal records including training, policies and procedures, and licensing details.
• Assist in compliance trainings.
• Work with IT on system development and enhancement projects.
• Promoting ideas for process improvement and assisting in their implementation.
• Assisting in providing information in relation to SFC regulatory inquiries, such as 181/182 requests, ad hoc investigations, surveys, and follow-up questions.
• Handle internal and external auditors’ requests.
• Performing tasks assigned by the manager from time to time.

Requirements

• Master’s degree in Business or related disciplines.
• Fluent in English, Cantonese, and Putonghua (preferred).
• 1–2+ 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 SAR markets and investment banking–related regulatory requirements (SFC/HKMA).
• Proficient in MS Word and Excel with IT knowledge.
• Strong communication and interpersonal skills.
• Working relationships and experience with local regulators will be highly regarded.

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