Position Description This position is part of the equities compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage for Institutional Equities (Sales and Trading) and Equities Derivatives departments. Key Areas of Responsibilities Provide advice on regulatory interpretation and compliance issues in the coverage area Review SMARTs monitoring conduct by other officers and identify opportunities for improvement Conduct monitoring to assess the business’s ongoing compliance with key requirements Handle regulatory enquiries in a timely and effective manner, coordinating internally to ensure accurate responses are provided to regulator. Resolve compliance issues promptly, ensuring protection of the Company’s interests Review and update compliance manuals and procedures in response to applicable regulatory requirements, business changes and industry best practices Review and provide input on new business initiatives from regulatory and best practice perspective Support compliance training to business units to promote awareness and adherence to applicable requirements Requirements Post-graduate degree is preferred with minimum of 6 years’ relevant experience in the financial services industry, preferably in Compliance, Internal Audit, and/or with an exchange or regulator. Knowledge of SMARTs surveillance system, Professional Investor Rules, trading requirements related to China Connect Market and Manual Trade Strong analytical skills, with a high level of attention to detail and knowledge of order management systems. High level of numerical accuracy and strong attention to detail Demonstrated ability to work effectively as part of a team; dependable, self-motivated, and possessing a strong sense of ownership. Excellent interpersonal skills with good command of written and spoken English and Chinese , including Putonghua Good Excel, Word and PowerPoint skills Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest. 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.

Associate, Equities Compliance, Compliance.

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