Regulatory Compliance Specialist

1 week ago


Hong Kong, Central and Western District, Hong Kong SAR China IQ-EQ Full time
Job Title: Senior Associate/ Assistant Manager, Regulatory Compliance

We are seeking a highly skilled professional to join our team at IQ-EQ, a leading provider of compliance consultancy services to clients regulated by the Securities and Futures Commission (SFC) in Hong Kong.

Key Responsibilities:
  • Client Management: Serve as the primary point of contact for clients, delivering comprehensive 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.
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

At IQ-EQ, we offer a dynamic and inclusive work environment that supports your career aspirations. With a strong emphasis on continuous learning and professional development, we provide opportunities for growth and advancement across our service lines and international network of offices.



  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    Hong Kong Exchanges and Clearing Limited is seeking a talented graduate to join our 2025 Graduate Programme. As a Regulatory Compliance Specialist, you will play a critical role in ensuring the integrity of Hong Kong's financial ecosystem. Through immersive training and exposure to regulatory authorities, you will master regulatory standards and contribute...


  • Hong Kong, Central and Western District, Hong Kong SAR China Jane Street Full time

    About the PositionWe are seeking a highly skilled Regulatory Compliance Specialist to join our Hong Kong team. As a key member of our Legal and Compliance Group, you will work closely with internal business groups to identify, advise, analyze, and resolve regulatory reporting and compliance issues related to Jane Street's Asian Business.This role will...


  • Hong Kong, Central and Western District, Hong Kong SAR China Recruitment Intelligence Consultants Limited Full time

    Compliance Career Opportunity **About the Role** We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Recruitment Intelligence Consultants Limited. As a key member of our organization, you will play a critical role in overseeing the identification, assessment, and management of key compliance risks across the Asia Pacific...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hex Trust Full time

    Hex Trust: A Leading Web3 InnovatorWe are seeking a highly skilled and experienced Regulatory Compliance Specialist to join our team in Hong Kong. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in line with all relevant regulatory requirements.About the RoleThis is an exciting opportunity to...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hex Trust Full time

    Hex Trust: A Leading Web3 InnovatorWe are seeking a highly skilled and experienced Regulatory Compliance Specialist to join our team in Hong Kong. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in line with all relevant regulatory requirements.About the RoleThis is an exciting opportunity...


  • Hong Kong, Central and Western District, Hong Kong SAR China IQ-EQ Full time

    About IQ-EQIQ-EQ is a leading Investor Services group that combines global expertise with a strong focus on client service delivery. We support fund managers, global companies, family offices, and private clients operating worldwide.Job SummaryWe are seeking a highly skilled Senior Associate to join our team for the provision of compliance consultancy...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    Company Overview:Hong Kong Exchanges and Clearing Limited is a leading financial market infrastructure provider, connecting capital, ideas, inspiration, and innovation for deeper, more diverse, and liquid global capital markets.Job Summary:We are seeking a highly motivated and ambitious graduate to join our 24-month rotation program, dedicated to mastering...


  • Hong Kong, Central and Western District, Hong Kong SAR China HSBC Full time

    Unlock Your Potential in a Dynamic Insurance EnvironmentAt HSBC, we're committed to helping our clients achieve their financial goals. As a Technical Support Specialist, you'll play a critical role in providing legislative and regulatory support to our sales force, driving productivity and excellence in our insurance sales operations.Key...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    Job Title: Regulatory Policy Specialist Job Summary: We are seeking a highly skilled Regulatory Policy Specialist to join our Regulatory Policy & Markets team under Group Compliance. As a key member of our team, you will play a critical role in managing an internal end-to-end service to facilitate business and market initiatives, and interactions with...


  • Hong Kong, Central and Western District, Hong Kong SAR China Projob21 Ltd. Full time

    Job SummaryWe are seeking a highly skilled Regulatory Affairs Specialist to join our team at Projob21 Ltd. as a Compliance Manager. The successful candidate will be responsible for overseeing Regulatory Affairs and Central Compliance, ensuring that our company remains compliant with all relevant regulations and laws.Key ResponsibilitiesOversight of...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    Job Summary:The Regulatory Policy & Markets team under Group Compliance at Hong Kong Exchanges and Clearing Limited is seeking a skilled Regulatory Policy Specialist to manage an internal end-to-end service to facilitate business and market initiatives, and interactions with regulators and Government agencies. The ideal candidate will advise HKEX on...


  • Hong Kong, Central and Western District, Hong Kong SAR China IQ-EQ Full time

    {"title": "Regulatory Compliance Role", "content": "Job SummaryWe are seeking a highly skilled Regulatory Compliance professional to join our team at IQ-EQ. As a key member of our compliance team, you will be responsible for ensuring that our clients meet all regulatory requirements and maintain a strong compliance culture.Key ResponsibilitiesProvide expert...


  • Hong Kong, Central and Western District, Hong Kong SAR China China Mobile International Limited Full time

    Job DescriptionChina Mobile International Limited is seeking a highly skilled Regulatory Affairs Specialist to join our team.Responsibilities:Conduct market research and develop entry strategies for target marketsFormulate a strategic plan aligned with CMI's global market development goalsProvide leadership on global regulatory matters and serve as the...


  • Hong Kong, Central and Western District, Hong Kong SAR China China Mobile International Limited Full time

    Job SummaryChina Mobile International Limited is seeking a highly experienced and skilled Senior Regulatory Affairs Specialist to join our team. As a key member of our global regulatory team, you will be responsible for providing strategic guidance and support to our business units on regulatory matters.Key ResponsibilitiesConduct thorough research and...


  • Hong Kong, Central and Western District, Hong Kong SAR China Sia Partners Full time

    Job OverviewSia Partners is seeking a highly skilled Regulatory Compliance Specialist to join our team in Hong Kong. As a key member of our team, you will play a critical role in helping us build our expertise and deliver high-quality services to our clients in the financial services sector.Key ResponsibilitiesParticipate in projects with leading banks and...


  • Hong Kong, Central and Western District, Hong Kong SAR China IQ-EQ Full time

    Job DescriptionResponsibilitiesThe successful incumbent will possess a deep understanding of regulatory compliance and exceptional client-facing skills. The scope of work will include, but not be limited to, compliance advisory, dealing with regulatory bodies, client communication, complex compliance issue resolution, and team management.Key...


  • Hong Kong, Central and Western District, Hong Kong SAR China IQ-EQ Full time

    {"Responsibilities": "As a key member of our team, you will be responsible for providing regulatory compliance expertise to our clients. Your primary focus will be on ensuring that our clients are in compliance with all relevant regulations and laws. You will be the main point of contact for clients, providing guidance and support on all regulatory...


  • Hong Kong, Central and Western District, Hong Kong SAR China Bristol Myers Squibb Full time

    Transforming Patients' Lives through ScienceBristol Myers Squibb is a leading biopharmaceutical company dedicated to discovering, developing, and delivering innovative medicines that transform patients' lives. We are seeking a highly skilled Regulatory Affairs Specialist to join our team.Key Responsibilities:Independently handle regulatory submissions to...


  • Hong Kong, Central and Western District, Hong Kong SAR China Corporation Service Company Full time

    Job Title: Officer, Regulatory Compliance ServicesAbout the Role:We are seeking a highly skilled and experienced Regulatory Compliance Officer to join our team in Hong Kong. As a key member of our Regulatory and Compliance Services (RCS) team, you will play a critical role in ensuring our clients meet both their local and global regulatory needs.Your...


  • Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Client Onboarding SpecialistLarson Maddox is seeking a skilled Client Onboarding Specialist to join our team. As a key member of our Onboarding team, you will be responsible for ensuring the seamless onboarding of high-net-worth clients, while maintaining compliance with all relevant regulations and internal policies.Key Responsibilities:Conduct thorough...