Compliance Officer – Australia

About the role

The Compliance Officer will support the compliance framework for CITIC CLSA’s Australian businesses, covering investment banking, equities and research. This position is ideal for candidates with 2‑3 years of experience in advisory compliance, surveillance, or financial crimes compliance.

Key responsibilities

• Assist in developing and maintaining the compliance framework to meet Australian regulatory requirements.
• Provide timely compliance advice to Equities, IB, ECM, Research, Wealth Management, Equity Derivatives and other units.
• Track regulatory changes, advise stakeholders, and update policies and procedures accordingly.
• Deliver training on relevant regulatory topics and monitor staff dealing activity.
• Oversee trade surveillance program (SMARTS Broker) and conduct targeted compliance reviews.
• Act as point of contact for ASIC, ASX, Cboe and support regulatory inspections or audits.
• Guide CLSA’s AML program and attend industry committee meetings.

Required profile

• Bachelor’s degree or higher in Law or a related discipline.
• 1‑2 years of relevant compliance experience in financial markets, investment banking, research or financial crime compliance.
• Strong understanding of Australian financial services laws, ASIC Market Integrity Rules, ASX and Cboe Operating Rules, and the AML/CTF Act.
• Excellent analytical, investigative and record‑keeping skills with high attention to detail.
• Ability to work autonomously, foster constructive relationships with business units and regulators, and thrive in a trading‑floor environment.
• Strong verbal and written communication skills in English.