Senior Associate, Regulatory Compliance

About the role

IQ-EQ, a global investor services group with deep expertise in private markets, is seeking a Senior Associate to deliver compliance consultancy services to clients. The role serves as the main point of contact for SFC-regulated financial institutions, advising on complex compliance issues and handling regulatory filings.

Key responsibilities

• Serve as the primary contact for clients, answering compliance-related inquiries for SFC-regulated institutions
• Conduct regulatory research, monitor rule changes and advise clients on regulatory requirements
• Prepare and submit SFC licensing applications, ad hoc filings and supporting documents, and liaise with regulators and stakeholders
• Lead compliance meetings, prepare compliance reports, run compliance monitoring reviews and implement client-specific monitoring plans
• Draft, review and submit regulatory reports and returns, and support Financial Resources Rules (FRR) matters
• Carry out other tasks assigned by the Associate Director

Required profile

• Bachelor's degree in Law, Accounting, Finance or a related discipline
• Prior experience in a compliance role within a regulated financial institution, compliance consultancy firm or similar
• Knowledge of Hong Kong's financial services industry and regulatory framework
• Excellent written and spoken English; Cantonese and/or Mandarin is an advantage
• Desired: sound knowledge of Hong Kong regulatory compliance, client-facing experience, and knowledge of the Financial Resources Rules

Required skills

• Strong analytical skills and attention to detail
• Sound judgement, initiative and effective communication of regulatory information
• Ability to multitask in a fast-paced environment
• Desired: MS Office skills

What we offer

• Remuneration based on market rates, proportional to qualifications and experience
• Medical and dental insurance on Day 1 with 2 dependents, plus group life and accident insurance
• 25 days of paid annual leave
• Flexible working arrangements available
• Training, tools and a development plan