Compliance Consultant (Regulatory)- Buy Side Firms
Hong Kong, Hong Kong
source : eFinancialCareers

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


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