Officer, Monitoring and Testing, Compliance

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 Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.