Associate, Equities Compliance, Compliance

Position Description

This position is part of the equities compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage for Institutional Equities (Sales and Trading) and Equities Derivatives departments.

Key Areas of Responsibilities

• Provide advice on regulatory interpretation and compliance issues in the coverage area

• Review SMARTs monitoring conduct by other officers and identify opportunities for improvement

• Conduct monitoring to assess the business’s ongoing compliance with key requirements

• Handle regulatory enquiries in a timely and effective manner, coordinating internally to ensure accurate responses are provided to regulator.

• Resolve compliance issues promptly, ensuring protection of the Company’s interests

• Review and update compliance manuals and procedures in response to applicable regulatory requirements, business changes and industry best practices

• Review and provide input on new business initiatives from regulatory and best practice perspective

• Support compliance training to business units to promote awareness and adherence to applicable requirements

Requirements

• Post-graduate degree is preferred with minimum of 6 years’ relevant experience in the financial services industry, preferably in Compliance, Internal Audit, and/or with an exchange or regulator.

• Knowledge of SMARTs surveillance system, Professional Investor Rules, trading requirements related to China Connect Market and Manual Trade

• Strong analytical skills, with a high level of attention to detail and knowledge of order management systems.

• High level of numerical accuracy and strong attention to detail

• Demonstrated ability to work effectively as part of a team; dependable, self-motivated, and possessing a strong sense of ownership.

• Excellent interpersonal skills with good command of written and spoken English and Chinese , including Putonghua

• Good Excel, Word and PowerPoint skills

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.