Senior Compliance Manager, Equities Compliance, Compliance
CLSA(5 months ago)
About this role
Senior Compliance role on the Equities Compliance team providing coverage to CSI Institutional Equities (Sales and Trading) and the Equities Derivatives department. The position reports to the Head of Equities Compliance and supports regulatory and compliance oversight for the business. The role focuses on ensuring adherence to Hong Kong regulatory requirements and internal compliance standards.
Required Skills
- Regulatory Advice
- Policy Review
- Compliance Monitoring
- Regulatory Enquiries
- Training Delivery
- Analytical Skills
- Communication
- Cash Equities
- Equities Derivatives
- Teamwork
Qualifications
- Master Degree (Preferred)
- Degree in Business, Accounting or Law
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