Background :
Our client is looking to hire a Compliance Consultant (Regulatory)- Buy Side Firms for the APAC region, the position will report to a top, well established Managing Partner of a top buy-side regualtory consultancy.
Experienced conpliance professionals or para-legal professionals with SFC Types 1,4,6 or 9 licensing application experience will be highly appraised.
The incumbent would have experience in managing clients compliance projects or have worked in-house within the buy-side / HF / PE or Asset Management space- ideally with native level Mandarin speaking and writitng skills. , and
You will be versed with general SFC compliance enquiries and can learn and research regualotry matters independently or part of a team matters.
Responsibilities :
Act as the liaison person to interact with regulators and other financial services regulatory agencies for buy-side Clients of this consultancy.
Assist in the coordination of regulatory inspections, self-assessments, and regulatory surveys for APAC entities to ensure timely and quality submissions
Assist in the information gathering and drafting of written responses to regulatory enquiries, questionnaires, and consultations for APAC entities.
Keep abreast of new regulations and updates and disseminate regulatory notices, circulars, and other regulatory developments to management, compliance teams within APAC region and relevant stakeholders.
Assist in monitor progress of remediation exercise to ensure completeness.
Assist in the co-ordination and handling of Compliance related requests from internal and external auditors for mainly Mainalnd financial services and buy-side entities in the HK / APAC region.
Requirements :
University qualification in a relevant discipline ideally gained in a top jurisidction such as Hong Kong, SIngapore or Western Hemisphere Universities - economics, law or accounting degree preferred.
Familiarity with the regulatory process, rules and codes related to Hong Kong, mainland China and Singapore ideally.
Proven experience and track record at a financial services’ consultancy, regulatory agency, exchange or licensed financial services firm.
Self-starter with strong analytical skills.
Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast pace working environment
Comfortable with computers and technology and understanding of how technology is applied to business and regulatory problems.
Good Microsoft office skills (i.e. Word, Excel and PowerPoint).
Ability to work in a small-team environment and to multi-task with minimal supervisory;
A can do attitude with a willingness to learn.
Must be native level inMandarin with some fleuncy in spoken or written English and ideally any other Asian language would be a benefit.
THE IDEAL CANDIDATE should be willing to able to start immediately.
Work Benefits / Work Environment :
International and friendly company culture.
Competitive year-end bonus.
Great annual leave package
Great Career progression.
Medical and Dental Insurance Coverage
For further information, please send an updated resume to :
cv (AT) harbridgepartners (DOT) com
