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Senior Compliance Manager, Equities Compliance, Compliance
CITIC CLSAHong Kong30+ days ago
Job descriptionMaster degree or equivalent degree is preferred, ideally in business, accounting or law Minimum 10 years of relevant work experience in the financial services industry inpliance or internal audit and / or with a securities exchange or regulator In depth knowledge of Hong Kong regulatory andpliance requirements Sound working knowledge of cash equities and equities derivatives business Strong analytical skills, detail-oriented Able tomunicate efficiently and effectively, fluent English, Cantonese and Mandarin (advantageous) Demonstrate team working ability, is dependable and self-motivated with ownership mentality.
Responsibilities
- Advisory – Provide advice on regulatory interpretation andpliance issues in the coverage area
- New business initiatives – Review and provide input to new business and infrastructure initiatives from a local regulatory and best practice perspective.
- Reviews and monitoring – Provide guidance to team member on conductingpliance monitoring to access business’s ongoingpliance with keypliance
- Regulatory enquiry – Handling regulatory enquiry and manage relationship with regulators.
- Training – Provide training to business units
Requirements
Job ID JR001561
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Compliance Manager • Hong Kong
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