Officer, Central Compliance, Compliance
- LocationHong Kong
- Work typeNot stated
- EmploymentFull-time
- Posted29 October 2026
- SourceCITIC Securities's careers page (Workday)
Live checkFirst seen 8 days ago; still listed on CITIC Securities's careers page 3 h ago.
At a glance
- Experience1 to 2 years
- LanguagesEnglish, Chinese
- Skills and toolsMicrosoft Office, Excel, PowerPoint
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Position Description
This position will participate in Central duties in the areas of licensing, personal employee trading, SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and training.
Key Areas of Responsibilities
- Handle various regulatory notifications, including incidental and suspicious violations, and ensure compliance with SFC notification requirements.
- Handle SFC licensing matters, including licence applications, terminations, notifications, and submission of Annual Returns, in a timely manner.
- Process staff outside account requests, review outside account statements, and clear alerts generated by the in-house staff dealing and compliance declaration systems.
- Follow up with new joiners to ensure completion of required compliance declarations upon joining and annually thereafter.
- Maintain internal records, including training records, policies and procedures, and licensing details.
- Assist with compliance training logistics.
- Work with IT on system development and enhancement projects.
- Identify opportunities for process improvement and assist with implementation.
- Assist in providing information in response to SFC regulatory enquiries, including Sections 181/182 requests, ad hoc investigations, surveys, and follow-up questions.
- Handle requests from internal and external auditors.
- Perform other tasks as assigned by the manager from time to time.
Requirements
- Degree or above in tax accounting, Finance, or related discipline.
- Minimum 1–2 years of relevant experience in a securities/investment banking firm, Big Four/consulting firm, or regulatory body, preferably in a compliance testing or internal audit capacity.
- Experience working with local regulators will be highly regarded.
- Strong communication and interpersonal skills.
- Proficient in MS Office (Outlook, Word, Excel, and PowerPoint) with good IT literacy.
- Excellent command of written and spoken English and Chinese, including Mandarin.
- Candidates with 3–4 years of relevant experience may be considered for an Associate-level position.
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