Compliance Officer, Compliance at CLSA

職位	Compliance Officer, Compliance
刊登日期	06 Aug 2026
已過期	05 Sep 2026
公司名稱	CLSA
地點	香港 \| HK
僱傭形式	Full Time

職位描述：

最新職位資訊來自 CLSA 職位為 Compliance Officer, Compliance. If the Compliance Officer, Compliance 職位空缺在香港符合您的資格，請直接透過更新後的 Jobkos 招聘門戶提交最新的申請或履歷。

請注意，求職申請並非總是容易的，申請人必須符合公司設定的特定要求。我們希望以下在 CLSA 職位為 Compliance Officer, Compliance 的職業機會適合您的專業資格。

CITIC CLSA’s Compliance Department is responsible for ensuring that CITIC CLSA complies with applicable laws, rules, and regulations. This includes providing advisory services to CITIC CLSA businesses, training employees on regulatory requirements applicable to their activities, and monitoring CITIC CLSA’s ongoing compliance with requirements.

The Compliance Officer will work under our Central Compliance team and participate in the areas of licensing, SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and training.

Key Areas of Responsibilities

Handling the SFC licensing matters, including license applications, terminations, notifications and submission of Annual Returns, in a timely manner
Following up with new joiners to complete their compliance declarations upon joining and also on an annual basis
Handling various notifications including incidental / suspicious violation and ensure the SFC notification requirements are followed
Maintaining Internal Records including training, policies and procedures and licensing details
Assist in Compliance Trainings
Work with IT on system development and enhancement projects
Promoting ideas for process improvement and assist in their implementation
Assisting in providing information in relation to SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and follow up questions.
Handle Internal and External Auditors’ requests.
Performing tasks assigned by his/her manager from time to time

Requirements

Master degree holder in Business, or related disciplines.
Fluent in English, Cantonese and Putonghua (preferable)
1-2+ years within a securities / investment banking firm or big four / consulting firm or regulatory body, in a compliance testing or internal audit capacity.
Sound knowledge of 香港 SAR markets and investment banking related regulatory requirements (SFC / HKMA).
Proficient in MS Word and Excel with IT knowledge
Strong communication and interpersonal skills
Working relationships and experience with local regulators will be highly regarded

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工作資料：

公司名稱: CLSA
職位: Compliance Officer, Compliance
工作地點: 香港
國家: HK

如何提交申請：

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Compliance Officer, Compliance at CLSA

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