jobs in CITIC CLSA

全职 Officer, Monitoring and Testing, Compliance 工作, 薪水, CITIC CLSA Hong Kong 公司招聘中 - Ricebowl

Officer, Monitoring and Testing, Compliance

CITIC CLSA

全职

Hong Kong

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工作地点

  • Hong Kong Hong Kong

职位描述

岗位职责

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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