Assistant Manager, Equities Compliance, Compliance

Position Description

This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to CLSA Institutional Equities (Sales and Trading) Business and Equities Derivatives Department.

Key Areas of Responsibilities

• Participate to the update of compliance manuals of procedures in light of regulatory or business changes.

• Assist on regulatory enquiries and manage relationship with regulators.

• Conduct review of SMARTs monitoring review by other compliance officers. Look for area of improvements of the review process.

• Conduct monitoring to assess business’s ongoing compliance with key compliance requirements.

• Provide day-to-day compliance advice to CLSA’s Listed Structured Products business.
• Resolve compliance issues in a timely and effective manner.
• Handle regulatory enquiries
• Support other compliance matters related to CLSA products, businesses, or clients, in the best interests of the Company.

Requirements

• University graduate or equivalent degree preferred, ideally in business, accounting or law.

• Minimum 2 years of relevant work experience in the financial services industry in Compliance or internal audit and/or with a securities exchange or regulator.

• Knowledge of cash equities, listed derivatives and market making activities preferred.

• Working knowledge of SMARTs surveillance system.

• Able to communicate efficiently and effectively, fluent English, Cantonese and Mandarin (advantageous).

• Demonstrate team working ability, is dependable and self-motivated with ownership mentality.

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