Key Areas of Responsibility
- 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
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.