Assistant Manager, Equities Compliance, Compliance
CLSA(6 months ago)
About this role
A Senior Compliance position within CLSA's Equities Compliance team providing coverage to Institutional Equities (Sales & Trading) and Equities Derivatives. Reporting to the Head of Equities Compliance, the role supports the Listed Structured Products business and is part of the firm's compliance function.
Required Skills
- Compliance Monitoring
- Regulatory Relations
- Policy Updates
- SMARTs Surveillance
- Listed Derivatives
- Cash Equities
- Market Making
- Compliance Advice
- Communication
- Teamwork
Qualifications
- University Degree in Business, Accounting or Law
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