We are looking for a Consultant to join our thriving Hong Kong and Capital Markets practices to deliver high quality, specialist advice to our Capital Markets clients in Hong Kong, Mainland China and overseas.
The successful candidate will also participate in marketing and business development to ensure that they have a sufficient pipeline of client work, as well as assist with technical research and producing technical materials.
The Hong Kong and Capital Markets Practices give specialist advice on regulatory requirements to Bovill’s clients. They support clients through the entire regulatory cycle obtaining the appropriate licence or exemption, putting in place fit-for-purpose, commercially-minded Compliance Frameworks, meeting the expectations of relevant Regulators on an ongoing basis, and implementing regulatory change projects.
The successful candidate will provide support to Securities Brokers, Trading Platforms (including Exchanges, Automated Trading Services, Multilateral Trading Facilities, etc.
Commodities Brokers and other Capital Markets players.
Our Consultants are integral in the development and growth of Bovill to maximise our presence within the industry through securing new clients and business opportunities.
Successful applicants will have :
Recent in-house compliance experience of at least 5 years in an Exchange, trading platform, Investment Bank or broker-dealer, or in another professional services company
Demonstrable deep understanding of both the business issues in the Capital Markets sector across a range of asset classes, as well as the key regulatory challenges faced
A strong technical understanding of the relevant aspects of the SFC rules and regulations, and of the regulatory pipeline is critical.
Deep knowledge of the regulatory requirements applying to Brokers is imperative.
An understanding of the primary market (ECM / DCM), derivatives reporting and market misconduct rules applying in Hong Kong and / or overseas would be advantageous.
Knowledge of wider regional or global requirements would be advantageous
Significant compliance-related experience gained at a financial institution, consultancy and / or the SFC / an overseas Regulator
Knowledge and experience of the SFO and subsidiary regulations that apply to Capital Markets clients, and relevant regulations applying regionally
Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous
A degree, ideally in a relevant subject
Relevant, Diploma level professional qualification (investment or compliance-related), or willing to study towards
Commercial acumen, with the ability to spot new opportunities and develop them
The ability to speak both Cantonese and Mandarin would be desirable.
Successful candidates will be providing advice and support to clients on a wide range of regulatory compliance matters. This may include, but is not limited to :
Seeking the appropriate SFC licence
Conducting regulatory reviews and health checks
Delivering training sessions and workshops for compliance staff and senior management
Drafting compliance policies and procedures
Act as the main point of contact for a portfolio of clients
Build and maintain professional working relationships with clients, trade bodies, the SFC and other regulators
Represent the firm at industry events, promoting the Bovill brand
You will also have responsibility for building the pipeline by generating new leads and leveraging existing relationships to maximise opportunities for up / cross-selling.
Therefore, prior experience in consulting or business development is essential.
Given the technical nature of the work we do, exceptional written and oral communication skills, and high attention-to-detail are paramount.
In return we offer :
The opportunity to work in an entrepreneurial, fast moving, stimulating environment
Strong career development support mentoring, coaching, relevant training and development
The opportunity to work closely with, and learn from, our global team of regulatory experts who are truly committed to assisting your development
A small informal company environment with minimal bureaucracy
A competitive salary, performance-related discretionary bonus, and generous benefits package