CITIC CLSA
Hong Kong, HONG KONG
(on-site)
Posted
9 days ago
Job Function
Legal Support
Description
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
Job ID: 82772016
