Primarily responsible for advising, monitoring, and overseeing the equity and derivatives business
Supervising compliance testing, risk inventory maintenance, and risk assessment
Managing information control in general, including personal data, transactional data, and other proprietary information such as trade secrets
Assisting different lines of business with cross-selling products by providing advice on laws and regulations and creating robust control processes
Reviewing research and sales memos, and solicitation materials, such as pitch books
Advising the Client Onboarding team on KYC requirements
Assisting the Japan Head of Compliance with day-to-day operations
Supporting other team members with daily tasks such as regulatory filings and monitoring
Requirements
Master’s degree or higher in law, finance, business, or economics
A minimum of 5 years of relevant experience in legal or compliance functions
Legal qualification is an advantage
Candidates with less experience will be considered for Associate Director
Knowledge of operations, finance, or IT is an advantage
At least 3 years of work experience in financial institutions
Strong problem-solving and multitasking skills
Willing to take on new challenges; proactive, ready to get involved, and able to initiate any risk-control projects deemed necessary, such as those related to operational risk, information control, and monitoring
Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, commodities, and funds, is an advantage
A team player, proactive and inquisitive, who can manage their ego
Fluent in both spoken and written English
Fluency in Chinese is preferred
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