Senior Associate, Licensing, Regulatory Compliance

Job Description

  • Assisting the processing of all corporate licensing applications with the SFC, HKMA, Insurance Authority, HKEx and / or C&E (or other relevant regulatory agencies) from new clients (including the processing of the associated staff, directors, MICs, Responsible Officers and substantial shareholders) in Hong Kong under the supervision of the Associate Director, Licensing
  • Assisting the processing of variations in corporate licensing applications for new and existing clients including but not limited to adding or removing licence types, uplifts of licensing conditions and changes in substantial shareholdings under the supervision of the Associate Director, Licensing
  • Assisting with providing and amending compliance documentations to support corporate licensing applications
  • Providing compliance and regulatory advisory services to clients in respect of licensing matters
  • Meeting with prospective clients to gain an understanding of their proposed business activities
  • Co-operating with other teams providing services including but not limited to ongoing compliance support, training, AML, and projects to ensure consistency of service to clients
  • Staying up to date with new regulatory changes and developments to brief team members and clients on applicability
  • Conducting research on regulatory updates and other related licensing matters
  • Attending as far as possible corporate events when required by senior management and social events organized by the Group to assist with team building


  • Degree Holder in Business, Management, Accounting or Law
  • Prior experience in working with a regulatory authority or working in an international financial institution is an advantage

Skills and Abilities:

  • Excellent written communication skills in both English and Chinese
  • Excellent verbal communication skills in English, Cantonese, and Mandarin
  • Detailed-oriented
  • Willing to review applicable regulatory guidelines and requirements on ongoing basis
  • Proactive working attitude and team player

Years of experience:

  • A few years’ working experience is preferred

Additional information

The shortlisted candidate will be working under ComplianceAsia. 

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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