Regulatory Compliance Manager

3 weeks ago

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

Job Description

Responsibilities

The 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 Responsibilities

  • Be the subject matter expert and primary point of contact for clients, providing support and guidance on all regulatory compliance matters as required.
  • Handle client compliance inquiries and provide timely and independent responses.
  • Conduct regulatory research in accordance with SFC regulations, Hong Kong law, and other relevant jurisdictions as needed.
  • Ensure timely SFC filing and submission.
  • Maintain accurate client records in the system.
  • Stay well-versed in SFC regulations for licensed corporations and local law.
  • Conduct compliance meetings and deliver compliance reports to clients in a timely and independent manner.
  • Provide technical training to new joiners and colleagues on regulatory compliance and refreshers as required.
  • Implement efficiency within the team, supervise tasks performed by team members, and provide compliance advisory on regulatory updates to clients.
  • Participate in a good governance model.
  • Perform ad hoc tasks as instructed by the Associate Director as required.

Other

  • Support the department as required within the confines of the role.
  • Undertake any additional reasonable duties as required by the firm.

Key Competencies

  • Strong analytical skills with excellent attention to detail.
  • Sound judgment and initiative.
  • Ability to provide solutions and handle complex regulatory compliance-related issues.
  • Effective and efficient communication of regulatory information.
  • Results-oriented and ability to multitask and manage high volumes of priorities in a fast-paced environment.

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