COMPANY OVERVIEW:
CLSA is Asia’s leading capital markets and investment group, providing global investors with 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, corporate finance, capital and debt markets, securities and wealth management.
As the international platform of CITIC Securities (SSE: 600030, SEHK: 6030), China’s largest investment bank, CLSA is uniquely positioned to facilitate cross-border capital flows and connect China with the world and the world to China.
Founded in 1986 and headquartered in Hong Kong, CLSA’s global network spans 21 locations across Asia, Australia, Europe and the United States.
For further information, please visit www.clsa.com.
KEY RESPONSIBILITY AREAS (KRA’S):
1. Compliance Monitoring
- Transaction monitoring, employee personal transactions, declaration of business interests, information security, continuing professional education for licensed employees, honest practice, best transaction price execution, etc.
- Examine the continuing obligations of licensed personnel, including changes in personal information and business interests, continuing professional education plans, etc.
- Inspection of whether licensed personnel/senior managers/key risk personnel/directors are suitable candidates.
2. Compliance Consulting
- Provide compliance advice on applicable rules and regulations or group/local compliance policies/procedures.
- Answer employee questions regarding licensing requirements.
3. Licensing and New Business
- Processing of companies and employees applying/terminating licenses from the Monetary Authority of Singapore and Singapore Exchange.
- Support the expansion of each business line in Singapore and Southeast Asia markets.
4. Regulatory Updates
- Track changes to regulatory requirements/guidance and then notify relevant personnel so that follow-up actions can be taken if necessary.
5. Temporary Tasks/Projects
- Assist in completing all other temporary tasks/projects as assigned.
6. Support the compliance teams in the Philippines and Malaysia, mainly including compliance monitoring matters and temporary tasks and consultation.
KEY COMPETENCIES/SKILLS:
- Bachelor’s Degree in Law or equivalent preferred.
- Excellent analytical skills and quick logical thinking ability.
- Strong interpersonal skills.
- Good writing and presentation skills.
- Attention to detail.
- Ability to operate independently and to multi-task.
- Understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks.
- Ability to read, write and speak English and Mandarin is necessary to foster collaboration between Head Office and Singapore Office.
