Key Areas of Responsibilities
Conduct Compliance Monitoring and Surveillance reviews to assess firm’s ongoing compliance with Key Regulatory Requirements;
Participate to in-depth reviews of compliance risks and controls in accordance with the Compliance Testing plan;
Prepare Regulatory Reporting including large shareholding reporting, short position, takeover code, or the bank holding company act;
Participate to transaction approval process by reviewing transactions against a set of compliance criteria;
Review electronic communications alerts as part of the e-com surveillance program;
Assist in responding to regulatory queries;
Report information to management, update incident log and employee conduct breach log
Assist in ad-hoc tasks as needed within the team
Requirements
Bachelor's degree and above in relevant field
Minimum 3 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 markets and investment banking related regulatory requirements (SFC / HKMA).
Strong communication and interpersonal skills
Excellent command of / fluent in both spoken and written English,Cantonese, and Mandarin
Working relationships and experience with local regulators will be highly regarded
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Skills Required
- Bachelor's degree or higher in a relevant field
- At least 3 years of experience in securities, investment banking, Big Four, consulting, or a regulatory body, specifically in compliance testing or internal audit
- Sound knowledge of Hong Kong markets and investment banking regulatory requirements, including SFC and HKMA requirements
- Strong communication and interpersonal skills
- Fluency in spoken and written English, Cantonese, and Mandarin
- Working relationships and experience with local regulators
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
