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
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
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.
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
Qualifications and experience:
Educated to degree level
Significant compliance-related experience gained at a financial institution, consultancy and/or the SFC / an
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
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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We are looking for a Consultant to join our thriving Hong Kong and Capital Markets practices to deliver high quality, specialist advice to our Capital Markets clients in Hong Kong, Mainland China and overseas. The successful candidate will also participate in marketing and business development to ensure that they have a sufficient pipeline of client work, as well as assist with technical research and producing technical materials.
The Hong Kong and Capital Markets Practices give specialist advice on regulatory requirements to the organisation’s clients. They support clients through the entire regulatory cycle – obtaining the appropriate licence or exemption, putting in place fit-for-purpose, commercially-minded Compliance Frameworks, meeting the expectations of relevant Regulators on an ongoing basis, and implementing regulatory change projects.
The successful candidate will provide support to Securities Brokers, Trading Platforms (including Exchanges, Automated Trading Services, Multilateral Trading Facilities, etc.), Commodities Brokers and other Capital Markets players.