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Officer, Central Compliance, Compliance

Citicclsa

Hong KongPosted 23 h agoDirect from company

  • LocationHong Kong
  • Work typeNot stated
  • EmploymentFull-time
  • Posted29 October 2026
  • SourceCiticclsa's careers page (Workday)
  • Last checked3 h ago on Citicclsa's careers page
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About the role

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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