Senior Manager, Regulatory Compliance (Project Team)

Job Description

  • Manage a team to conducting mock inspections and compliance health check projects for financial institutions, reviewing, drafting, updating, and customizing first draft compliance policies, ESG policies, and other internal control and operations policies and procedures, arranging translation of information between various languages, preparation of rules maps, bespoke research matters and compliance analysis and compliance gap analysis projects for financial institutions
  • Lead compliance projects and ensure that project deliverables are achieved per agreement with clients
  • Manage any escalated operational issues that may delay timelines, suggest/provide solutions to overcome the hurdles
  • Provide compliance and regulatory advisory services to clients 
  • Liaise on an ongoing basis with regulators in HK and other locations if needed
  • Collaborate with other teams (ongoing support teams, licensing and etc) to ensure consistency and quality of services to clients
  • Stay up to date with new regulatory changes and developments and evaluate business opportunities from that
  • Attend work in progress, marketing, management and other internal meetings as requested by senior management
  • Attend as far as possible social events organized by the Group to assist with team building
  • Perform other ad hoc duties / projects as assigned by the Manager
  • Manage the team to deliver efficient & quality services to internal and external clients
  • Provide support and sharing knowledge with other teams to assist them to deliver the best advice and services to clients
  • Maintain good relationships with clients, identify opportunities for cross-selling.
  • Development and coaching


  • 8-10 years’ relevant experience in project management in the compliance sector, of which at least 3 years in a project leader capacity
  • hands-on experience in client servicing
  • familiar with regulatory licencing requirements particularly SFC and MAS requirements
  • proficiency in Cantonese and English, and business-level proficiency in Mandarin will be an added bonus

Additional information

The shortlisted candidate will be working at ComplianceAsia office at Suite 1102, Chinachem Tower, 34-37 Connaught Road, Central.

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.

Apply now
< Back to search results

Why work at IQ-EQ?

We power people and possibilities

Our benefits & culture

Recruitment experience

Everything you need to know

Our selection process