Citic Clsa

Compliance Officer, Compliance

Hong Kong

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

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the posting

Position Description

CITIC CLSA’s Compliance Department is responsible for ensuring that CITIC CLSA complies with applicable laws, rules, and regulations. This includes providing advisory services to CITIC CLSA businesses, training employees on regulatory requirements applicable to their activities, and monitoring CITIC CLSA’s ongoing compliance with requirements.

The Compliance Officer will work under our Central Compliance team and participate in the areas of licensing, SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and training.

Key Areas of Responsibilities

Handling the SFC licensing matters, including license applications, terminations, notifications and submission of Annual Returns, in a timely manner

Following up with new joiners to complete their compliance declarations upon joining and also on an annual basis

Handling various notifications including incidental / suspicious violation and ensure the SFC notification requirements are followed

Maintaining Internal Records including training, policies and procedures and licensing details

Assist in Compliance Trainings

Work with IT on system development and enhancement projects

Promoting ideas for process improvement and assist in their implementation

Assisting in providing information in relation to SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and follow up questions.

Handle Internal and External Auditors’ requests.

Performing tasks assigned by his/her manager from time to time

Requirements

Master degree holder in Business, or related disciplines.

Fluent in English, Cantonese and Putonghua (preferable)

1-2+ 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 SAR markets and investment banking related regulatory requirements (SFC / HKMA).

Proficient in MS Word and Excel with IT knowledge

Strong communication and interpersonal skills

Working relationships and experience with local regulators will be highly regarded

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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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