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Citic Clsa

Officer, Monitoring and Testing, 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
17 Sept 2026

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

the posting

Key Areas of Responsibilities

Conduct Compliance Monitoring and Surveillance reviews to assess firm’s ongoing compliance with Key Regulatory Requirements;

Participate to in-depth reviews of compliance risks and controls in accordance with the Compliance Testing plan;

Prepare Regulatory Reporting including large shareholding reporting, short position, takeover code, or the bank holding company act;

Participate to transaction approval process by reviewing transactions against a set of compliance criteria;

Review electronic communications alerts as part of the e-com surveillance program;

Assist in responding to regulatory queries;

Report information to management, update incident log and employee conduct breach log

Assist in ad-hoc tasks as needed within the team

Requirements

Bachelor's degree and above in relevant field

Minimum 3 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 markets and investment banking related regulatory requirements (SFC / HKMA).

Strong communication and interpersonal skills

Excellent command of / fluent in both spoken and written English,Cantonese, and Mandarin

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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