Senior Associate, Regulatory Compliance
Core
Provide compliance consultancy services to clients regulated by the Securities and Futures Commission (SFC), handling inquiries, regulatory research, and licensing applications.
Role type
Senior Associate, Regulatory Compliance Consultant
Builds
SFC licensing applications, regulatory filings, FRR submissions, and compliance reports
Domain
Financial Services / Private Markets / Hong Kong Regulatory Framework
Deliverable
client delivery
Required skills
Regulatory compliance expertise, AML knowledge, Financial Resource Rules (FRR) knowledge, SFC rules interpretation, Client liaison, Regulatory research, KYC processes, Financial impact assessment, Stakeholder coordination
Preferred skills
Bachelor's degree in Law, Accounting, Finance, or related field, Proficiency in MS Office, Fluent in English and Cantonese
Technologies
MS Office
Responsibilities
Act as primary client liaison delivering compliance consultancy services, Conduct regulatory research and provide advisory on SFC rules, Prepare and manage SFC licensing applications and regulatory filings, Perform compliance monitoring reviews and KYC processes, Monitor liquidity and capital positions and coordinate with auditors and legal teams
