Position Description
This position is part of the equities compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage for Institutional Equities (Sales and Trading) and Equities Derivatives departments.
Key Areas of Responsibilities
Provide advice on regulatory interpretation and compliance issues in the coverage area
Review SMARTs monitoring conduct by other officers and identify opportunities for improvement
Conduct monitoring to assess the business’s ongoing compliance with key requirements
Handle regulatory enquiries in a timely and effective manner, coordinating internally to ensure accurate responses are provided to regulator.
Resolve compliance issues promptly, ensuring protection of the Company’s interests
Review and update compliance manuals and procedures in response to applicable regulatory requirements, business changes and industry best practices
Review and provide input on new business initiatives from regulatory and best practice perspective
Support compliance training to business units to promote awareness and adherence to applicable requirements
Requirements
Post-graduate degree is preferred with minimum of 6 years’ relevant experience in the financial services industry, preferably in Compliance, Internal Audit, and/or with an exchange or regulator.
Knowledge of SMARTs surveillance system, Professional Investor Rules, trading requirements related to China Connect Market and Manual Trade
Strong analytical skills, with a high level of attention to detail and knowledge of order management systems.
High level of numerical accuracy and strong attention to detail
Demonstrated ability to work effectively as part of a team; dependable, self-motivated, and possessing a strong sense of ownership.
Excellent interpersonal skills with good command of written and spoken English and Chinese , including Putonghua
Good Excel, Word and PowerPoint skills
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Skills Required
- Minimum 6 years' relevant experience in the financial services industry
- Post-graduate degree
- Experience in Compliance, Internal Audit, exchange, or regulator environments
- Knowledge of SMARTs surveillance system
- Knowledge of Professional Investor Rules
- Knowledge of trading requirements related to China Connect Market and Manual Trade
- Knowledge of order management systems
- Strong analytical skills and high numerical accuracy with strong attention to detail
- Ability to work effectively as part of a team; dependable, self-motivated, strong ownership
- Excellent written and spoken English and Chinese, including Putonghua
- Proficient Excel, Word and PowerPoint skills
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.
CLSA Insights
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
