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 the areas of licensing, SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and training.
Key Areas of Responsibilities
Handling the 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 also on an annual basis
Handling various notifications including incidental / suspicious violation and ensure the 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 assist in their implementation
Assisting in providing information in relation to SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and follow up questions.
Handle Internal and External Auditors’ requests.
Performing tasks assigned by his/her manager from time to time
Requirements
Master degree holder in Business, or related disciplines.
Fluent in English, Cantonese and Putonghua (preferable)
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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Skills Required
- Master degree holder in Business or related disciplines
- 1-2+ years within a securities or investment banking firm or consulting firm in compliance testing or internal audit
- Sound knowledge of Hong Kong SAR markets and investment banking related regulatory requirements
- Fluent in English, Cantonese and Putonghua (preferable)
- Proficient in MS Word and Excel
- Strong communication and interpersonal 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
