Compliance Surveillance & Reporting Specialist

CLSA

Hong Kong

On-site

HKD 550,000 - 900,000

Full time

11 days ago

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Job summary

CLSA in Hong Kong is seeking an experienced Compliance professional to join our Compliance Testing team. The role focuses on assessing ongoing regulatory adherence and supporting surveillance reviews. You will prepare regulatory reports, review transactions, and respond to queries from regulators.

Strong English, Cantonese and Mandarin, plus knowledge of HK markets, are essential. This position offers growth within a leading investment firm.

Qualifications

Bachelor’s degree in a relevant field.
Minimum 3 years in securities/investment banking or regulator/regulatory body in compliance testing or internal audit.
Solid knowledge of HK markets and regulatory requirements (SFC/HKMA).
Strong communication and interpersonal skills.
Fluent in English, Cantonese, and Mandarin.
Experience with local regulators is a plus.

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