IQ-EQ
Financial Services
SeniorAssociate,RegulatoryCompliance
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“Senior Associate, Regulatory Compliance at IQ-EQ. Skills: Regulatory compliance, AML, FRR, Client advisory. Serve as primary point of contact for clients. Deliver compliance consultancy services to SFC-regulated financial institutions”
Industry & Context.
Handle complex regulatory compliance related issues; Provide solutions
What They're Looking For.
Must Have
Bachelor's degree in Law, Accounting, Finance, Excellent written and verbal communication skills in English and Cantonese, Prior knowledge of Hong Kong financial industry and regulatory regime, Previous working experience in financial industry compliance role, Collaborative attitude, Ability to work under pressure and tight deadlines, Ability to work well as part of a team
Nice to Have
MS Office skills, Client facing roles experience
What You'll Do.
Serve as primary point of contact for clients
Deliver compliance consultancy services to SFC-regulated financial institutions
Handle client compliance inquiries
Provide timely responses to clients
Conduct research on regulatory updates
Provide clients with timely advice
Prepare and submit SFC licensing applications
Submit ad-hoc filings on behalf of clients
Conduct regular compliance meetings with clients
Deliver comprehensive compliance reports and updates
Undertake periodic compliance monitoring reviews
Execute a compliance monitoring plan
Draft regulatory reports and returns
Review regulatory reports and returns
Perform KYC advisory for clients
Prepare FRR submissions for LCs
Review FRR submissions for LCs
Monitor liquidity positions of LCs
Monitor capital positions of LCs
Prepare regulatory disclosures
Check regulatory disclosures
Provide consultation in forecasting financial impact
Communicate and coordinate with auditors
Coordinate with accountants
Coordinate with lawyers
Coordinate with other group offices
Assist in post-audit FRR preparation
Assist in Account Disclosure Document preparation
Review post-audit FRR
Review Account Disclosure Document
Handle FRR matters and enquiries from regulators
Handle FRR matters and enquiries from clients
Handle FRR matters and enquiries from other parties
Perform additional tasks as directed by Associate Director
How You'll Work.
Team & Collaboration
Work with other group offices; Coordinate with auditors; Coordinate with accountants; Coordinate with lawyers
Communication Scope
Client communication; Regulatory information communication
Full Job Description
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 billion. We work with 13 of the world’s top-15 private equity firms. Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. We’re driven by our Group purpose, to power people and possibilities. Responsibilities (how we will measure success) We are seeking a highly skilled Senior Associate to join our team for the provision of compliance consultancy services to clients. The ideal candidate will have a strong background in regulatory compliance, AML, Financial Resource Rules (“FRR”) and exceptional client-facing abilities. This role involves providing comprehensive compliance advisory services to clients regulated by the Securities and Futures Commission (SFC) and addressing complex compliance issues. Tasks (what does the role do on a day-to-day basis) * Client Management: Serve as the primary point of contact for clients, delivering 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 an
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