Posted on 2021-10-11

Consultant (Capital Markets)

Arion House


The Job

You will:

Technical qualities:

  • Recent in-house compliance experience of at least 5 years in an Exchange, trading platform, Investment

  • Bank or broker-dealer, or in another professional services company

  • Demonstrate deep understanding of both the business issues in the Capital Markets sector across a

    range of asset classes, as well as the key regulatory challenges faced

  • A strong technical understanding of the relevant aspects of the SFC’ rules and regulations, and of the

    regulatory pipeline is critical.

  • Deep knowledge of the regulatory requirements applying to Brokers is imperative.

  • An understanding of the primary market (ECM/DCM), derivatives reporting and market misconduct rules

    applying in Hong Kong and / or overseas would be advantageous. Knowledge of wider regional or global

    requirements would be advantageous

  • A broad understanding and an appetite to keep learning

Client Delivery

  • Take personal responsibility for achieving the agreed billable hours target, and providing input into ensuring that you have a sufficient pipeline of client work

  • Provide high quality advice and support to clients on a range of regulatory compliance matters. This may include:

    • Seeking the appropriate SFC licence

    • Conducting regulatory reviews and compliance health-checks

    • Delivering training sessions and workshops for compliance staff and senior management

    • Drafting compliance policies and procedures

    • Responding to ad-hoc and routine regulatory queries

  • Act as the main point of contact for a portfolio of clients. This may include:

    • Responding to queries, managing client expectations and delegating work, where necessary

    • Collaborating as necessary with overseas colleagues to deliver the best possible service for


    • Reviewing the work of colleagues and providing constructive feedback

    • Helping to ensure accurate invoicing, timely payment and assisting the Finance team in resolving any


  • Adhere to the firm’s Quality Assurance Framework prior to submission to the client

  • Accurately record all client time and contact details in the CRM system as well as ensure that all clients

    files are in good order

Business development

  • Build and maintain professional working relationships with clients, trade bodies, the SFC and other Regulators

  • Actively seek to increase the organisation’s pipeline by targeting new clients, as well as leveraging existing client relationships to maximise opportunities for up-selling and cross-selling

  • Prepare well-presented, fit-for-purpose accurately priced proposals and present these to prospective clients

  • Represent the firm at industry events, promoting the organisation’s brand

  • Participate in internal events and training sessions such as client briefings and roundtable events

  • Assist with marketing and business development activities.

  • Take personal responsibility for achieving the agreed sales targets to ensure a sufficient pipeline of client


  • Record all touch-points, leads, opportunities and proposals in the CRM system.

Regulatory knowledge

  • Keep abreast of regulatory developments and understand how client activities may be impacted

  • Be proactive in updating both colleagues and clients on relevant regulatory changes and industry news

  • Develop a thorough understanding of clients’ businesses and requirements so you can provide relevant

    and accurate advice

  • Help develop the organisation’s technical capacity within the relevant sectors

About You

Qualifications and experience:

  • Educated to degree level

  • Significant compliance-related experience gained at a financial institution, consultancy and/or the SFC / an

    overseas Regulator

  • Knowledge and experience of the SFO and subsidiary regulations that apply to Capital Markets clients, and

    relevant regulations applying regionally

  • Proven track record of exceeding financial goals and sales targets; consulting experience would be


  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic

    solutions for clients

  • Experience managing client relationships

  • Excellent Microsoft Office skills and experience using a CRM system would be an advantage


  • Exceptional written and oral communication skills

  • Ability to confidently interact with Board and Executive level clients

  • Ability to prioritise multiple projects and engagements whilst meeting tight deadlines

  • Highly motivated individual who thrives in a fast-paced, high-pressure environment

  • Proven ability to manage own workload, and cope with the ‘peaks and troughs’ associated with

    professional services

  • Commercial acumen, with the ability to spot new opportunities and develop them

  • Entrepreneurial mind-set and ‘can do’ attitude

  • The ability to speak both Cantonese and Mandarin fluently would be desirable


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More job information
Job Function
Employment Term
  • Permanent
  • Full-time
Career Level
  • Non-management level
  • Degree