- 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.
- 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
- 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.
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.
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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