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Regulatory Compliance Manager

1 week ago

Hong Kong Island, Hong Kong SAR China IQ-EQ Full time
Job Overview

IQ-EQ is a leading Investor Services group, offering global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices, and private clients operating worldwide.

Key Responsibilities
  • Provide compliance consultancy services to clients regulated by the Securities and Futures Commission (SFC)
  • Address complex compliance issues, focusing on health-checks, mock inspections, reviews of policies & procedures, and operational audits
Requirements
  • Bachelor's degree in Law, Accounting, Finance, or equivalent fields
  • 3-5 years' relevant experience in audit (particularly of financial institutions) or in-house compliance in the financial industry
Competencies
  • Familiarity with SFC regulations and particularly the SFC inspection and enforcement process
  • Strong analytical skills with excellent attention to detail