Compliance Officer

  • attractive
  • Hong Kong
  • Permanent, Full time
  • CLSA
  • 25 Sep 17

The Compliance Officer will be part of CLSA’s Compliance Monitoring and Testing Team, reporting to the department head. The successful candidate will be involved in planning and executing compliance reviews to ensure our Company continues to comply with ongoing and applicable regulatory requirements.

Key Responsibilities

• Executing compliance testing reviews to assess business compliance controls and compliance with Key Regulatory Requirements
• Implementing CLSA’s Compliance Testing programme in conjunction with the relevant compliance advisory teams
• Providing detailed reports of findings and proposing remediation suggestions to relevant compliance head and advisory teams
• Resolving compliance issues (whether in relation to CLSA products, businesses or otherwise) in the best interests of the Company and its clients
• Conducting investigations into potential breaches of CLSA policies by staff where necessary


• Degree holder
• 2-3+ years within a securities / investment banking firm or big four / consulting firm or regulatory body, in a compliance testing or internal audit capacity
• Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA)
• Strong communication and interpersonal skills
• Fluent English required, Mandarin and Cantonese preferred
• Working relationships and experience with local regulators will be highly regarded

If you are seeking a dynamic environment in which to build your career in treasury, please send applications and CV to

About CLSA
CLSA is Asia’s leading capital markets and investment group, connecting global investors to insights, liquidity and capital to drive their investment strategies.
Award-winning research, an extensive Asia footprint, direct links to China and highly experienced finance professionals differentiate our innovative products and services in asset management, alternative investment, corporate finance, capital markets, securities and wealth management.

As the international platform of CITIC Securities, China’s largest investment bank, CLSA is uniquely positioned to facilitate cross border capital flows and bridge China to the world and the world to China.
Founded in 1986 and headquartered in Hong Kong, CLSA operates from 20 cities across Asia, Australia, the Americas and Europe. 

For further information, please visit