Senior Associate/ Assistant Manager, Regulatory Compliance

Job Description

Responsibilities

We are seeking a highly skilled talent 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 comprehensive compliance advisory services to clients regulated by the Securities and Futures Commission (SFC) and addressing complex compliance issues.

Tasks

• Client Management: Serve as the primary point of contact for clients, delivering compliance consultancy services to SFC-regulated financial institutions.
• Compliance Support: Efficiently handle client compliance inquiries and provide timely responses to ensure client satisfaction and compliance with regulations.
• Research and Advisory: Conduct thorough research on regulatory updates, rules, and regulations, providing clients with timely advice to navigate compliance challenges.
• Licensing Applications: Prepare and submit SFC licensing applications and ad-hoc filings on behalf of clients, including the necessary supporting documentation.
• Compliance Meetings: Conduct regular compliance meetings with clients, delivering comprehensive compliance reports and updates efficiently.
• Monitoring Reviews: Undertake periodic compliance monitoring reviews by executing a compliance monitoring plan tailored to each client’s needs.
• Regulatory Reporting: Draft and review regulatory reports and returns as required, ensuring accuracy and compliance with regulatory standards.

Other

• Perform any additional tasks as directed by the Associate Director to support the team and enhance client services.