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.

Qualifications Essential Criteria: Bachelor’s degree in Law, Accounting, Finance, or equivalent fields

Excellent written and verbal communication skills in both English and Mandarin in order to communicate with clients

Prior knowledge of the financial industry and regulatory regime in Hong Kong.Previous working experience in a financial industry compliance role, for example with a regulated institution or a compliance consultancy firm.Collaborative attitude, able to work well as part of a team.Desired Criteria: Strong MS Office skills

Sound knowledge on regulatory compliance in Hong Kong Experiences in client facing roles would be an advantage 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 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

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