Junior Compliance & Regulatory Executive

Job Description

A career in our Financial Services / Commercial Department will provide you with the opportunity to provide support to members of our compliance and regulatory team with work for financial services clients, and in particular fund managers, in connection with handling the preparation and processing of SFC licence applications.  Secretarial support will not usually be available for the position.

Responsibilities

As a Junior Compliance & Regulatory Executive, you will need to maintain a flexible approach and be able to accommodate new and varied work flows.  At times the individual may be required to assist with other regulatory and compliance matters within the compliance team or the funds group as a whole.  Specific responsibilities include but are not limited to:

Details of the main duties are set out below:

  • To prepare routine/simple Applications for Licensed Representatives, monitor the application process by checking the SFC’s Register and with approval of the Supervisor, follow up with the case officer, prepare reports to the client once the application is approved, seek input from the client, obtain copies of licensing exam results for persons that need to pass the exam papers within the grace period and submit to the SFC
  • To prepare routine/simple Applications for Transfer of Accreditation and to monitor the application process by checking the SFC’s Register and with approval of the Supervisor, follow up with the case officer and prepare a draft report to the client once the application is approved
  • To prepare routine/simple Applications for Addition of Accreditation, monitor the application process by checking the SFC’s Register and with approval of the Supervisor follow up with the case officer and prepare a draft report to the client once the application is approved


The individual will also be expected to:

  • Prepare other routine/simple applications from time to time for review by the Supervisor
  • Prepare routine/simple notifications to the SFC for review and approval by the Supervisor
  • Conduct licensing and other administrative tasks from time to time
  • Prepare soft copies of licensing application forms for clients
  • Note that all verbal and written communications with the SFC and the client and other relevant parties have to be pre-approved in accordance with our standard external communications approval procedures
  • Able to manage relationships with clients and contacts as a “trusted compliance advisor” and to develop and maintain good relationships with relevant persons at the SFC

Requirements:

  • A degree holder (in law or other business related discipline)
  • Knowledge of how the securities and asset management industries operate
  • A confident communicator with effective interpersonal communication skills
  • A good team player with team spirit
  • The ability to handle direct client communications and meetings professionally and competently, while always keeping supervisor fully involved and informed
  • Able to speak, read and write English, Cantonese and Mandarin fluently

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