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Assistant Manager, Equities Compliance, Compliance
CITIC CLSAHong Kong10 天前
职位描述University graduate or equivalent degree preferred, ideally in business, accounting or law. Minimum 2 years of relevant work experience in the financial services industry inpliance or internal audit and / or with a securities exchange or regulator. Knowledge of cash equities, listed derivatives and market making activities preferred. Working knowledge of SMARTs surveillance system. Able tomunicate efficiently and effectively, fluent English, Cantonese and Mandarin (advantageous). Demonstrate team working ability, is dependable and self-motivated with ownership mentality.
Responsibilities
- Participate to the update ofpliance manuals of procedures in light of regulatory or business changes.
- Assist on regulatory enquiries and manage relationship with regulators.
- Conduct review of SMARTs monitoring review by otherpliance officers. Look for area of improvements of the review process.
- Conduct monitoring to assess business’s ongoingpliance with keypliance requirements.
Requirements
Job ID JR000557
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Compliance Manager • Hong Kong