Career Opportunity - Global Consultancy, Compliance Consultant
- Employer
- Arion House
- Location
- Hong Kong, Hong Kong
- Salary
- Competitive
- Posted
- May 24, 2022
- Closes
- Jun 10, 2022
- Ref
- 12072616
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
Technical qualities
Client delivery
Business development
Regulatory knowledge
- Recent in-house compliance experience of at least 5 years in a fund manager, or in another professional services company
- Demonstrate deep understanding of both the business issues in the Asset Management 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, for example the FMCC.
- Deep knowledge of the regulatory requirements applying to Asset Managers is imperative.
- 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 meeting and exceeding the agreed billable hours target, ensuring you have a sufficient pipeline of client work
- Provide advice and support to clients on a wide range of regulatory compliance matters. This may include:
- drafting policies, procedures and templates
- writing training material and delivering training sessions
- liaising with the regulator on behalf of / regarding the client
- conducting client interviews
- assisting with regulatory matters including licensing applications, and compiling and submitting
regulatory returns and filings - preparing comprehensive reports
- supporting projects with multiple workstreams
- responding to ad-hoc and routine regulatory queries
- Act as the main point of contact and relationship manager for a portfolio of clients. This may include:
• responding to all queries, managing client expectations and delegating work, where necessary
• reviewing work of colleagues and providing constructive feedback
• ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries
• dealing with any complaints quickly and effectively - Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
- At all times adhere to the firm's Quality Assurance Framework prior to submission to the client
- Accurately record all client time in the CRM system
- Ensure all client files are in good order and details of relevant contacts are updated in the CRM system
Business development
- Take personal responsibility for meeting and exceeding the agreed sales credits target
- Build and maintain professional working relationships with clients, trade bodies and the regulator(s)
- Actively seek to increase the firm'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, accurately priced proposals and present these to prospective clients
- Represent the firm at industry events, promoting the brand
- Participate in internal events and training sessions such as client briefings and roundtable events etc.
- Assist the team with marketing and business development activities including:
• writing articles for the website and social media
• preparing marketing material - 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
- Develop a thorough understanding of clients' businesses and requirements so you can provide relevant and accurate advice
- Help develop the firm's technical capacity within the relevant sector(s) by:
• highlighting skills and knowledge gaps
• contributing to internal training initiatives and sharing knowledge across the firm
• attending relevant training sessions and industry events