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Citic Clsa

Associate, Equities Compliance, Compliance

Hong Kong

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hirly's read of this role

Seniority
Mid level
Country
HK
Work mode
On-site / unstated
First seen by hirly
3 Oct 2026

Derived automatically from the posting. Upload your resume above to see how the role scores against it.

the posting

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

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Original posting on Citic Clsa's site ↗

Listed on hirly, a job board. hirly is not the employer: Citic Clsa is hiring for this role.

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