Senior Associate, Regulatory Compliance

IQ-EQ • Full Time • Hong Kong Island, Hong Kong, China • 1d ago

Company Description

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 billion. We work with 13 of the world’s top-15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.

We’re driven by our Group purpose, to power people and possibilities.

Job Description

What you'll do:

Responsibilities (how we will measure success)

We are seeking a highly skilled Senior Associate to join our team for the provision of compliance consultancy services to clients. The ideal candidate will have a strong background in regulatory compliance, AML, Financial Resource Rules (“FRR”) 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 (what does the role do on a day-to-day basis)

You'll act as the primary client liaison, delivering compliance consultancy services, handling inquiries, and ensuring client satisfaction and regulatory adherence
You'll conduct regulatory research and provide timely advisory on SFC rules, updates, and compliance requirements
You'll prepare and manage SFC licensing applications, regulatory filings, FRR submissions, and other required reports and disclosures
You'll perform compliance monitoring reviews, KYC processes, and lead client meetings with clear reporting and actionable updates
You'll monitor liquidity and capital positions, assess financial impacts, and coordinate with auditors, legal teams, regulators, and other stakeholders on compliance matters

Other

Perform any additional tasks as directed by the Associate Director to support the team and enhance client services.

What we offer:

Comprehensive remuneration: Motivating financial packages based upon market rates for your role and are proportionate to your qualifications, level of experiences and skills profile
Wellbeing: Additional social benefits such as Medical and Dental insurance coverage on your Day 1 with 2 dependents covered and group life and accident insurance
Annual leave: All our employees are entitled to 25 days paid leave
Hybrid working arrangement: We recognize the value of working flexibly and are keen to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements
Support and development: We will ensure you have the right training, tools and development plan to grow and improve your skills every day

Qualifications

About you:

You demonstrate strong analytical skills, attention to detail, sound judgment, and the ability to solve complex regulatory compliance issues
You communicate regulatory information clearly and effectively while managing multiple priorities in a fast-paced environment with a results-oriented mindset
You embody key behaviors such as ownership, resilience, positivity, proactivity, and collaboration, aligned with core values
You hold a Bachelor’s degree in Law, Accounting, Finance, or a related field, with prior experience in financial services compliance and knowledge of Hong Kong regulatory frameworks
You are proficient in MS Office, fluent in English and Cantonese, and capable of working under pressure, meeting deadlines, and engaging effectively in client-facing and team-based environments

Additional Information

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6,500+ employees - from 94 nationalities, across 24 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success lead to our sustainability and success. We’re emotionally invested in our clients right from the beginning.

Department: Client ServicesType of Hire: Permanent

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