Officer, Central Compliance, Compliance

CITIC Securities International; Hong Kong; On-site; HKD 300,000 - 540,000; Full time

Job summary

CITIC Securities International is seeking a Compliance professional to support central duties involving licensing, SFC inquiries, 181/182 requests, investigations, surveys and training.

Your role includes handling regulatory notifications, licensing applications, annual returns, staff declarations, and training logistics, while partnering with IT to enhance systems and drive process improvements.

Qualifications

• Degree or above in tax accounting, Finance, or related discipline.
• 1–2 years of relevant experience in securities/investment banking, Big Four, or regulatory body.
• Excellent command of English and Chinese, including Mandarin.

Responsibilities

• Handle regulatory notifications and ensure SFC notification compliance.
• Manage SFC licensing matters including applications, terminations and annual returns.
• Process outside accounts requests and review staff statements for compliance.
• Assist with training logistics and maintain accurate training records.
• Collaborate with IT on system development and drive process improvements.

Skills

Regulatory compliance

SFC licensing

Communication skills

MS Office proficiency

Education

Bachelor degree in finance

Tools

MS Office

Job description

This position will participate in Central duties in the areas of licensing, personal employee trading, SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and training.

Key Areas of Responsibilities

• Handle various regulatory notifications, including incidental and suspicious violations, and ensure compliance with SFC notification requirements.
• Handle SFC licensing matters, including license applications, terminations, notifications, and submission of Annual Returns, in a timely manner.
• Process staff outside account requests, review outside account statements, and clear alerts generated by the in-house staff dealing and compliance declaration systems.
• Follow up with new joiners to ensure completion of required compliance declarations upon joining and annually thereafter.
• Maintain internal records, including training records, policies and procedures, and licensing details.
• Assist with compliance training logistics.
• Work with IT on system development and enhancement projects.
• Identify opportunities for process improvement and assist with implementation.
• Assist in providing information in response to SFC regulatory enquiries, including Sections 181/182 requests, ad hoc investigations, surveys, and follow-up questions.
• Handle requests from internal and external auditors.
• Perform other tasks as assigned by the manager from time to time.

Requirements

• Degree or above in tax accounting, Finance, or related discipline.
• Minimum 1–2 years of relevant experience in a securities/investment banking firm, Big Four/consulting firm, or regulatory body, preferably in a compliance testing or internal audit capacity.
• Experience working with local regulators will be highly regarded.
• Strong communication and interpersonal skills.
• Proficient in MS Office (Outlook, Word, Excel, and PowerPoint) with good IT literacy.
• Excellent command of written and spoken English and Chinese, including Mandarin.
• Candidates with 3–4 years of relevant experience may be considered for an Associate-level position.