- Primarily responsible for compliance testing, risk inventory maintenance, and risk assessment
- Information control in general, including persona data, transactional data, and other proprietary information such as trade secrets
- Insider information control in close corporation with HK Control Room
- Updating Japan IBD deal pipelines
- Review research and sales memos, and solicitation materials such as pitch books
- Advise Client Onboarding team on KYC requirements
- Help other members with daily tasks such as regulatory filings and monitoring
- Bachelor’s degree or above in Law, Finance, Business, or Economics
- Minimum 3 years of relevant experience in Legal or Compliance
- Knowledge in operations, finance, or IT would be advantage
- At least 3 years of working experience in securities or asset management
- Strong problem-solving and multi-tasking skills
- Willing to take new challenges; proactive, ready to get involved, or initiate any risk control project deemed necessary such as those related to operational risks, information control, monitoring, to conduct control
- Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, or commodities, and funds, is advantage
- A team player, proactive and inquisitive who can control one’s ego
- Fluent in both spoken and written English
- Chinese speakers are preferable
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CLSA Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about CLSA and has not been reviewed or approved by CLSA.
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Pay Growth & Progression — Base pay for junior bankers was increased significantly in 2021 to stay competitive in a hot market. This indicates willingness to adjust compensation when talent risks rise.
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Healthcare Strength — Permanent staff are automatically enrolled in healthcare aligned to local markets, with added travel health and security support via International SOS. This points to solid core medical coverage with global-travel assistance.
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Retirement Support — Permanent staff are automatically enrolled in pension plans aligned to local markets. A group retirement plan is administered regionally, signaling formalized retirement benefits infrastructure.
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What We Do
CITIC CLSA is a wholly-owned subsidiary of CITIC Securities and its overseas business platform. Established in Hong Kong in 1986, CITIC CLSA is Asia’s leading capital markets and investment group, committed to driving the growth strategies of global institutional investors, corporations, governments and high-net-worth individuals. CITIC CLSA’s award-winning research, extensive Asia network, direct links to China and highly experienced financial professionals set CITIC CLSA apart from global investment banks and regional players. Over three decades, CITIC CLSA has built an extensive Asia network with deep local knowledge and connections. Globally, we operate from 13 countries across Asia, Australia, Europe and the Americas. For further information, please visit clsa.com
