SFC Compliance Specialist: Licensing & Training

CLSA; Hong Kong; On-site; HKD 300,000 - 550,000; Full time

Job summary

CITIC CLSA is seeking a Compliance Officer to join our Central Compliance team in Hong Kong. The role covers licensing, regulatory inquiries (SFC), ad hoc investigations, surveys and training.

The successful candidate will manage licensing tasks, oversee new joiner declarations, maintain records, assist in training, and collaborate with IT on system enhancements and process improvements. Fluency in English, Cantonese, and Putonghua is preferred.

Qualifications

• Master's degree in Business or related discipline is required.
• Fluent in English, Cantonese and Putonghua (Putonghua preferred).
• 1-2+ years in securities/investment banking, big four, consulting or regulatory body in compliance testing or internal audit.

Responsibilities

• Handle SFC licensing matters, applications, terminations, notifications and annual returns.
• Assist in regulatory inquiries and ad hoc investigations; support training and policy updates.
• Maintain records, assist in compliance trainings, and liaise with regulators and auditors.

Skills

Fluent English

Fluent Cantonese

Putonghua

Education

Master's degree in Business or related disciplines

Job description

CITIC CLSA is seeking a Compliance Officer to join our Central Compliance team in Hong Kong. The role covers licensing, regulatory inquiries (SFC), ad hoc investigations, surveys and training.

The successful candidate will manage licensing tasks, oversee new joiner declarations, maintain records, assist in training, and collaborate with IT on system enhancements and process improvements. Fluency in English, Cantonese, and Putonghua is preferred.