Compliance Officer, Compliance
Core
Ensures CITIC CLSA complies with applicable laws, rules, and regulations by providing advisory services, training employees, and monitoring ongoing compliance.
Role type
Compliance Officer (Securities/Investment Banking)
Builds
Internal compliance records, training programs, and regulatory reporting systems
Domain
Financial Services / Securities Regulation (Hong Kong SAR)
Deliverable
client delivery
Required skills
SFC regulatory knowledge, licensing management, internal audit coordination, regulatory inquiry handling, process improvement, MS Office proficiency
Preferred skills
Experience with local regulators, IT system development knowledge
Responsibilities
Handle SFC licensing matters including applications and annual returns, manage compliance declarations for new joiners, handle regulatory notifications, maintain internal compliance records, assist in compliance trainings, work with IT on system enhancements, assist in regulatory inquiries and investigations, handle auditor requests
Seniority
Junior to Mid-level, hands-on IC