Associate, Equities Compliance, Compliance

Citicclsa · Hong Kong, HK

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Position Description This position is part of the equities compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage for Institutional Equities (Sales and Trading) and Equities Derivatives departments. Key Areas of Responsibilities Provide advice on regulatory interpretation and compliance issues in the coverage area Review SMARTs monitoring conduct by other officers and identify opportunities for improvement Conduct monitoring to...