- Primarily responsible for advising, monitoring, and overseeing the equity and derivatives business
- Supervising compliance testing, risk inventory maintenance, and risk assessment
- Managing information control in general, including personal data, transactional data, and other proprietary information such as trade secrets
- Assisting different lines of business with cross-selling products by providing advice on laws and regulations and creating robust control processes
- Reviewing research and sales memos, and solicitation materials, such as pitch books
- Advising the Client Onboarding team on KYC requirements
- Assisting the Japan Head of Compliance with day-to-day operations
- Supporting other team members with daily tasks such as regulatory filings and monitoring
- Master’s degree or higher in law, finance, business, or economics
- A minimum of 5 years of relevant experience in legal or compliance functions
- Legal qualification is an advantage
- Candidates with less experience will be considered for Associate Director
- Knowledge of operations, finance, or IT is an advantage
- At least 3 years of work experience in financial institutions
- Strong problem-solving and multitasking skills
- Willing to take on new challenges; proactive, ready to get involved, and able to initiate any risk-control projects deemed necessary, such as those related to operational risk, information control, and monitoring
- Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, commodities, and funds, is an advantage
- A team player, proactive and inquisitive, who can manage their ego
- Fluent in both spoken and written English
- Fluency in Chinese is preferred
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Skills Required
- Master's degree or higher in law, finance, business, or economics
- A minimum of 5 years of relevant experience in legal or compliance functions
- Legal qualification is an advantage
- Knowledge of operations, finance, or IT is an advantage
- At least 3 years of work experience in financial institutions
- Fluent in both spoken and written English
- Fluency in Chinese is preferred
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
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