Central Compliance & Licensing Analyst

CITIC Securities International Company Limited; Hong Kong; Sur place; HKD 350 000 - 550 000; Plein temps

Résumé du poste

CITIC Securities International Company Limited in Hong Kong is seeking a Compliance Analyst to support central duties across licensing, staff trading, and SFC inquiries. The role covers regulatory notifications, licensing applications, annual returns, and internal control reviews.

The candidate should possess a finance-related degree and 1–2 years' experience in securities or regulatory roles, with strong English and Mandarin skills and solid MS Office proficiency.

Qualifications

• Degree or above in finance, accounting, or related discipline.
• 1–2 years' experience in a securities, investment banking, or regulatory setting.
• Experience with local regulators is highly regarded.
• Excellent written and spoken English and Chinese (Mandarin).

Responsabilités

• Handle regulatory notifications, including incidental/suspicious items, ensuring SFC compliance.
• Manage SFC licensing matters: licence applications, terminations, notifications, annual returns.
• Process staff outside account requests and review external account statements.
• Clear alerts from internal dealing/compliance systems and maintain records.
• Follow up with new joiners to complete compliance declarations on joining and annually.
• Assist with compliance training logistics and record-keeping.
• Collaborate with IT on system development and improvement projects.
• Support responses to SFC inquiries (181/182), investigations, surveys, and ad hoc questions.
• Handle requests from internal and external auditors.
• Perform other tasks as assigned by the supervisor.

Connaissances

Regulatory compliance

SFC regulations

Communication skills

MS Office

English and Mandarin

Formation

Bachelor's degree in finance or related field

Outils

MS Office

Description du poste

CITIC Securities International Company Limited in Hong Kong is seeking a Compliance Analyst to support central duties across licensing, staff trading, and SFC inquiries. The role covers regulatory notifications, licensing applications, annual returns, and internal control reviews.

The candidate should possess a finance-related degree and 1–2 years' experience in securities or regulatory roles, with strong English and Mandarin skills and solid MS Office proficiency.