Career Opportunity - Global Consultancy, Compliance Consultant

Arion House
Hong Kong, Hong Kong
May 24, 2022
Jun 10, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Technical qualities
  • 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

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