CITIC CLSA

Asia-focused capital markets and investment group

Associate/Associate Director - Quality Control, Investment Banking

Risk & ComplianceConfirmed live in the last 24 hours

Full-timeHong KongNo salary listedIn-person

About the Job

Requirements

A bachelor's degree or above in a relevant discipline.
At least 5 years of relevant work experience in global investment banks, law firms, or Big Four audit firms, with knowledge of various financial products and the regulations of capital markets and securities companies in Hong Kong and overseas.
Good spoken and written command of English and Mandarin, using both as working languages.
Strong analytical and problem-solving skills, with the ability to handle multiple tasks independently and meet tight deadlines in a fast-paced environment.

Responsibilities

Improve execution quality for Hong Kong and overseas investment banking business by conducting independent reviews of transaction documents and due diligence.
Review, maintain, and improve internal quality control policy and framework, the transaction approval process, and the relevant IT system.
Review due diligence performed by deal teams and the underlying due diligence records.
Review and approve transaction documents.
Assess regulatory and business risks of investment banking transactions and report to senior management where necessary.
Organize and participate in internal committee meetings that consider the acceptance and launch of investment banking transactions.
Conduct research, internal statistics, and other ad hoc tasks as required.
Liaise with compliance, legal, and front-office teams to communicate and implement risk issues, quality control findings, and process improvements.
Prepare and present research reports, internal performance statistics, trend analyses, and other data-driven insights to support management decision-making and strategic planning.
Undertake ad hoc projects and special assignments, including policy updates, system enhancements, regulatory change implementation, and cross-department initiatives, as directed by senior management.

Desired Qualifications

Experience in overseas capital markets is a plus.
Good communication and coordination skills, conscientiousness, meticulousness, a strong sense of responsibility, and stress tolerance.

Position Description

The Quality Control (International) team (“QC”) of the Investment Banking Department reports to the Global Head of Quality Control and the Head of Investment Banking Department (International). QC provides technical support and assist in effectively monitoring and controlling business risks of the Investment Banking Department. You will be responsible for improving the execution quality of Hong Kong and overseas investment banking business by conducting independent review of various transaction documents and due diligence.

Key Areas of Responsibilities

Reviewing, maintaining and improving internal quality control policy and framework, transaction approval process and the relevant IT system.
Reviewing due diligence performed by deal teams and the underlying due diligence record.
Reviewing and approving various transaction documents.
Assessing the regulatory and business risk of investment banking transactions, and reporting to senior management where necessary.
Organizing and participating in internal committee meetings which consider the acceptance and launch of investment banking transactions.
Conducting research, internal statistics and other ad-hoc tasks as required from time to time.
Liaise with compliance, legal, and front-office teams to ensure risk issues, quality control findings, and process improvements are communicated effectively and implemented promptly.
Prepare and present research reports, internal performance statistics, trend analyses, and other data-driven insights to assist management in decision-making and strategic planning.
Undertake ad hoc projects and special assignments, such as policy updates, system enhancements, regulatory change implementation, or cross-department initiatives, as directed by senior management.

Requirements

Bachelor’s degree or above in relevant disciplines.
Minimum 5 years’ relevant working experience in global investment banks, law firms or big four audit firms with knowledge of various financial products and regulations of the capital markets and securities companies in Hong Kong and overseas.
Experience in overseas capital markets is a plus.
Good communication and coordination skills, with excellent team spirit, conscientious and meticulous, strong sense of responsibility and stress tolerance.
Good command of spoken and written English and Mandarin, using English and Mandarin as working language.
Strong analytical and problem-solving skills, with the ability to handle multiple tasks independently and meet tight deadlines in a fast-paced environment.

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About the Company

CITIC CLSA

Asia-focused capital markets and investment group

CITIC CLSA provides capital markets and investment services in Asia and beyond, supporting global institutional investors, corporations, governments, and high-net-worth individuals. The company uses its award-winning research, extensive Asia network, and direct links to China to help clients access and invest in Asian markets. Its team operates across 13 countries in Asia, Australia, Europe, and the Americas, combining local knowledge with international reach. This mix helps clients execute deals, conduct in-depth market analysis, and grow their investment portfolios through China and Asia-focused opportunities. What sets CITIC CLSA apart is its deep regional network and China connections, which contrast with broader global banks and smaller regional firms. The goal is to enable clients to grow by leveraging Asia’s markets and China’s opportunities through expert advisory, research, and execution across the globe.

Company size: 1,001-5,000
Company stage: Not listed
Total funding: $834.9M
Headquarters: Central and Western District, Hong Kong
Founded: 1986

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