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Job Description
We are seeking a highly skilled Assistant Manager to join our team for the provision of compliance consultancy services to clients. The ideal candidate will have a strong background in regulatory compliance and exceptional client-facing abilities. This role involves providing compliance advisory services to clients regulated by the Securities and Futures Commission (SFC) and addressing complex compliance issues, with a special focus on health-checks, mock inspections, reviews of policies & procedures, and operational audits.
Tasks
- Handle Mock Inspections and Compliance Health check projects for financial institutions
- Review, draft, update, and customize compliance policies, ESG Policy, and internal control and operations policies and procedures
- Handle Policy Gap Analysis projects for financial institutions
- Assist the team leader(s) in regulatory inspections advisory projects
- Manage other compliance related projects assigned by the senior management team (i.e. Regulatory Research, Rules Maps and regulatory change tracking)
- Perform any other ad-hoc tasks as assigned by the Manager
- Research and Advisory: Conduct thorough research on regulatory updates, rules, and regulations, providing clients with timely advice to navigate compliance challenges.
Other
- Perform any additional tasks as directed by the Associate Director to support the team and enhance client services.
Qualifications
Essential Criteria:
- Bachelor’s degree in Law, Accounting, Finance, or equivalent fields
- 3-5 years’ relevant experience in audit (particularly of financial institutions) or in house compliance in the financial industry.
- hands-on experience in client servicing
- familiar with regulatory requirements
- Proficiency in policy and procedure drafting for alignment with regulatory requirements
- Excellent written and verbal communication skills in English
- Prior knowledge of the financial industry and regulatory regime in Hong Kong.
- Flexible attitude, able to work individually and as part of a team.
Other Criteria:
- Strong MS Office skills
- Fluency in Mandarin would be an advantage
- Previous working experience in a general financial industry compliance role, for example with a regulated institution or a compliance consultancy firm would be considered
Key competencies for position and level:
- Familiarity with SFC regulations and particularly the SFC inspection and enforcement process.
- Strong analytical skills with excellent attention to detail
- Sound judgement and initiative
- Ability to provide solutions and handle complex regulatory compliance related issues
- Effective and efficient communication of regulatory information
- Results oriented and ability to multitask and manage high volumes of priorities in a fast-paced environment
Additional information
At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.
Company description
IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.
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