Consultant / Senior Consultant - Risk & Regulatory Compliance (SFC)

About the role

Sia, a global management consulting group founded in 1999, is looking for a Consultant or Senior Consultant in Risk and Regulatory Compliance (SFC) to join its Hong Kong team. Projects focus on delivering risk and regulatory advice across domains, and applicants with less experience may be considered for a more junior role.

Key responsibilities

• Take part in projects with leading financial institutions covering asset management, investment, funds and securities services.
• Carry out regulatory compliance reviews, internal control reviews, policy and procedure reviews, risk and compliance advisory and other independent assessments as required by regulators.
• Contribute hands-on to the successful execution of client projects.
• Use AI and generative AI tools to support project delivery.
• Help develop new intellectual property, including white papers, marketing materials and published articles.
• Work with other offices and use the global network for cross-selling and knowledge sharing.
• Senior candidates: lead a work stream, manage a team of consultants, take part in business development (content, proposals, sales presentations) and share best practices.

Required profile

• University degree or above in accounting, business, information technology or a related field.
• 2 to 5 years of relevant experience in risk and regulatory compliance within a reputable consulting firm; less experienced candidates may be considered for Consultant level.
• Familiarity with the SFO (Cap 571) and the SFC Code of Conduct.
• Professional qualifications such as CPA, CFA, FRM, CAMS, CISA, CISSP or CIA are an advantage.
• Fluency in spoken and written English and Cantonese is a must; Mandarin is an advantage.

Required skills

• Ideal areas of expertise: regulatory compliance reviews and SFC licensing applications (Type 1, 4 and 9), independent compliance assessments, AML/KYC, transaction monitoring, sanctions, data privacy and data quality, and risk management (market, credit, liquidity, investment, operational).
• Project management, stakeholder management, presentation and communication skills, and the ability to work independently with minimal supervision.