Officer, Central Compliance, Compliance

CITIC Securities International Company Limited; Hong Kong; On-site; HKD 350,000 - 550,000; Full time

Job summary

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).

Responsibilities

• 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.

Skills

Regulatory compliance

SFC regulations

Communication skills

MS Office

English and Mandarin

Education

Bachelor's degree in finance or related field

Tools

MS Office

Job description

CITIC Securities International is a wholly owned subsidiary of CITIC Securities and its overseas business platform.

Our award-winning research, extensive footprint in Asia, direct links to China and highly experienced finance professionals set us apart within the industry.

As part of CITIC Securities (SSE: 600030, SEHK: 6030), China's leading investment bank, CITIC Securities International is uniquely positioned to facilitate cross-border capital flows and connect China to the world and the world to China.

CITIC Securities International operates from 13 countries across Asia, Australia, Europe and the Americas. We offer comprehensives financial solutions to a large and diverse client base that includes global institutional investors, corporations, governments and high-net-worth individuals.

Position 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 licence 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.