IQ-EQ
Investor Services
AssistantManager,RegulatoryCompliance
“Assistant Manager, Regulatory Compliance at IQ-EQ. Skills: Financial Resources Rules (FRR) returns, Securities and Futures Commission (SFC) regulations, Regulatory compliance. Provision of compliance services to clients. Preparation, review and filing of Financial Resources Rules (FRR) returns to the Securities and Futures Commission (SFC)”
What You'll Achieve.
Ensuring accuracy and consistency of FRR returns; Ensuring that deadlines are met for FRR engagements
Industry & Context.
Ability to provide solutions and handle complex regulatory compliance related issues; Analytical skills
What They're Looking For.
Must Have
Bachelor’s degree in Accounting, Finance, or equivalent fields, 3-5 years’ relevant experience in audit (particularly of financial institutions) or in house compliance in the financial industry., Hands-on experience in client servicing, Familiar with regulatory requirements relating to FRR, MS Office skills, particularly Excel, Excellent written and verbal communication skills in English and Chinese Mandarin, Prior knowledge of the financial industry and regulatory regime in Hong Kong., Flexible attitude, able to work individually and as part of a team.
What You'll Do.
Provision of compliance services to clients
review and filing of Financial Resources Rules (FRR) returns to the Securities and Futures Commission (SFC)
Providing compliance advisory services focusing on FRR to clients regulated by the SFC
Addressing complex issues relating to FRR returns and liquid capital
Assist clients to review or draft periodic FRR returns
ensuring accuracy and consistency
Advise clients with complex FRR related issues and questions
Work closely with clients to handle SFC queries
relating to FRR matters
Monitor and manage FRR engagements for clients
ensuring that deadlines are met
Independently keep abreast of relevant updates to SFC rules and use of WINGS platform
pertaining to FRR returns
Conduct FRR trainings internally and externally when required
Assist colleagues from other teams/business lines within IQ-EQ with ad-hoc FRR related issues and questions
Perform any other ad-hoc tasks as assigned by the Associate Director
How You'll Work.
Team & Collaboration
Work closely with clients; Assist colleagues from other teams/business lines within IQ-EQ with ad-hoc FRR related issues and questions; Able to work as part of a team
Communication Scope
Excellent written and verbal communication skills in English and Chinese Mandarin; Effective and efficient communication
Process & Methodology
Monitor and manage FRR engagements for clients, ensuring that deadlines are met, Ability to multitask and manage high volumes of priorities in a fast paced environment
Applying for this Assistant Manager, Regulatory Compliance role?
Most applicants get filtered before a human reads their resume. See if yours makes the cut.
How to Apply on SmartRecruiters
- SmartRecruiters often includes a video screening step — check camera and mic permissions.
- Link your GitHub or portfolio directly in the profile section for technical roles.
- Applications may be reviewed by AI scoring before reaching a recruiter — use keywords from the job description.
ANONYMOUS · UNFILTERED
What do employees actually say about IQ-EQ?
Real rants from real employees. Read before you apply.