Senior Regulatory Compliance

Job Description

Regulatory Research

  • Tracking regulatory rules changes in APAC and help managing the SFC, JFSA, MAS, ASIC and other regulators’ calendars (consultation papers, regulatory updates/changes implementation date etc) and maintain the internal tracking records for distribution to Regulatory Compliance Staff
  • Conducting research on regulatory changes
  • Updating current client Asian regulatory information packs for changes.
  • Preparing client alerts on breaking regulatory news issues.

FRR work

  • Review Financial Resource Rules (“FRR”) Form of Licensed Corporations (“LC”) as per SFC regulatory requirements.
  • Monitor liquidity and capital positions of LCs to ensure compliance with relevant rules and regulations.
  • Provide consultation in forecasting the financial impact for potential investments, dividend declaration etc on liquidity of the LC.
  • Assist in post audit FRR and Account Disclosure Document (“ADD”) required to be submitted to the SFC.
  • Handle other FRR matters and basic enquires from the regulators, clients and other parties.

Ongoing Compliance Support

  • Review first draft compliance reports prepared by juniors.
  • Timely reply and follow-up with client enquiries and queries relating to the tasks performed.
  • Review of compliance registers and reports prepared by junior .


Policies & Procedures

  • Maintaining existing templates for compliance policies and procedures
  • Issuing client customised templates
  • Assisting with updating the template for regulatory changes.
  • Assisting to prepare mock inspection and compliance healthcheck  reports.

Internal Communications and Information

  • Stay up to date with new regulatory changes and developments to brief HK RegCom team members

Client Onboarding

  • Assist to research information about clients and prospects.


  • Ensure information is up-to-date, accurate and aligned with company standards and requirements.
  • Maintain files and records in a proper and organized manner.
  • Perform ad hoc support and other duties assigned.


  • Degree holder in Accounting, Business law
  • Qualified as a CA or CPA or be working towards becoming a qualified accountant.
  • Minimum 5 years of working experience in financial industry
  • Detail oriented, organized, skilled in multitasking and a strong, supportive team player.
  • Proficient in computer skills and a good knowledge in Microsoft Office
  • Previous experience in or knowledge of financial regulation 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, proactive, and willing to learn.
  • Clear and concise written and verbal communication skills and ability to engage with diverse stakeholders across the region. 


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 that brings together that rare combination of global expertise and a deep understanding of the needs of clients. We have the know-how and the know you that allows us to provide a comprehensive range of compliance, administration, asset, and advisory services to investment funds, global companies, family offices, and private clients globally.

IQ-EQ employs a global workforce of 3,000+ people located in 23 jurisdictions and has assets under administration (AUA) exceeding US$500 billion. IQ-EQ works with eight of the top 10 global private equity firms.

This is an exciting time to be part of IQ-EQ, we are growing substantially and currently seeking talented Data individuals to come along for the journey into the Data, Analytics, and Reporting Department. You will have the opportunity to utilize IQ-EQ's leading-edge technology stack whilst enjoying our continuous learning and development program.

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