Senior Compliance Officer, Compliance

Requirements

• Master's degree or higher in law, finance, business, or economics
• A minimum of 5 years of relevant experience in legal or compliance functions
• Legal qualification is an advantage
• Candidates with less experience will be considered for Associate Director
• Knowledge of operations, finance, or IT is an advantage
• At least 3 years of work experience in financial institutions
• Strong problem-solving and multitasking skills
• Willing to take on new challenges; proactive, ready to get involved, and able to initiate any risk-control projects deemed necessary, such as those related to operational risk, information control, and monitoring
• Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, commodities, and funds, is an advantage
• A team player, proactive and inquisitive, who can manage their ego
• Fluent in both spoken and written English
• Fluency in Chinese is preferred
• Stay informed on CITIC CLSA Job Opportunities
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Benefits

Additional Information

Key Areas of Responsibility Primarily responsible for advising, monitoring, and overseeing the equity and derivatives business Supervising compliance testing, risk inventory maintenance, and risk assessment Managing information control in general, including personal data, transactional data, and other proprietary information such as trade secrets Assisting different lines of business with cross-selling products by providing advice on laws and regulations and creating robust control processes Reviewing research and sales memos, and solicitation materials, such as pitch books Advising the Client Onboarding team on KYC requirements Assisting the Japan Head of Compliance with day-to-day operations Supporting other team members with daily tasks such as regulatory filings and monitoring

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