Associate/ Senior Associate, Regulatory Compliance – Financial Resource Rules

Job Description

  • Prepare and review Financial Resource Rules (“FRR”) Form of Licensed Corporations (“LC”) as per SFC regulatory requirement.
  • Monitor liquidity and capital positions of LCs to ensure compliance with relevant rules and regulations.
  • Prepare/check regulatory disclosures and group reporting to ensure it is in compliance with rules and regulations.
  • Provide consultation in forecasting the financial impact for potential investments, dividend declaration etc on liquidity of the LC.
  • Communicate and coordinate with auditors, accountants, lawyers and other group offices to manage compliance and regulatory issues.
  • Assist in post audit FRR and Account Disclosure Document (“ADD”) required to be submitted to the SFC.
  • Handle other FRR matters and enquires from the regulators, clients and other parties.


  • University graduate in accounting or related fields.
  • Qualified as a CA or CPA or be working towards becoming a qualified accountant.
  • Previous experience in preparing regulatory reporting tasks and experience with Hong Kong Securities and Futures Commission (SFC) regulations and Financial Resources Return (FRR) will be favourable.
  • Should be able to work in tight deadlines to ensure client deliverables are completed with accuracy and precision.
  • Diligent, flexible, detail-minded, cautious, proactive, and willing to learn.
  • Clear and concise written and verbal communication skills and ability to engage with diverse stakeholders across the region. 
  • Immediately availability is preferred.

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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