Assistant Compliance Manager, Compliance

CLSA; Hong Kong; On-site; HKD 700,000 - 1,100,000; Full time

Job summary

CLSA in Hong Kong is seeking a Compliance professional to conduct monitoring and surveillance reviews, assess regulatory compliance, and support our Compliance Testing plan.

You will prepare regulatory reporting including SFC/HKMA requirements, review transactions against compliance criteria, respond to regulatory queries, and maintain incident logs.

The role requires at least 3 years in securities or a related field, strong knowledge of HK markets, and fluent English, Cantonese, and Mandarin.

Qualifications

• Bachelor's degree in a relevant field.
• Minimum 3 years within a securities/investment banking firm or regulatory body, in a compliance testing or internal audit capacity.
• Sound knowledge of Hong Kong markets and regulatory requirements (SFC / HKMA).
• Fluent in English, Cantonese, and Mandarin.

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

Skills

Communication skills

English fluency

Cantonese fluency

Mandarin fluency

Education

Bachelor's degree

Job description

• 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