Compliance Consultant – Licensing Team

ComplianceAsia is the longest established compliance consulting firm in Asia Pacific established in 2003 with offices in Hong Kong, Shanghai and Singapore. We have an unmatched track record of completing complex compliance consulting projects for financial firms in the APAC region. With over 60 staff who are compliance experts with experience in dealing with SFC, HKMA, MAS, CSRC, JFSA and Asian exchanges, we provide independent, unbiased advice on Asian financial industry legislation and regulations. Our international client base consists of asset managers, hedge funds, private equity funds, family offices, broker-dealers, insurers, wealth managers and investment banks.

Job Duties:

• Assist in filling SFC application materials
• Liaise with the SFC for application matters
• Be a point of contact for licensing clients
• Assist senior staff in application material preparation
• Manage SFC and client files in good order

Job Qualifications:

• Highly effective communicator with strong English and Cantonese skills in speaking and writing (Mandarin not required but preferred)
• Degree in Law, Accounting, or Finance
• Familiar with financial services industry with basic knowledge in regulations and laws
• Passing HKSI Licensing Exam is not required but would be helpful
• Able to work under pressure and in a multi-task environment
• 1-2 years of working experience as a para-legal or auditor is preferred
• Fresh graduates are also welcome

We are looking to hire graduate entry level compliance consultants to join our Licensing Team based in our Hong Kong office to assist with delivering compliance consulting services to our financial industry clients.

If you are looking for a diverse compliance environment where we provide support to every type of licensed entity in Hong Kong, as well as consult on regional and international compliance issues, then ComplianceAsia provides a good career choice for you!

Our clients consist of many of the world’s leading and most exciting financial firms and we provide to them compliance support on important projects such as AML, mock inspections, documentation and training, licensing with the major financial regulators in Hong Kong and overseas and then provision of ongoing compliance support for smaller or specialist operations.

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Job Types: Full-time, Permanent

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