Licensing, Compliance & Regulatory Executive

A career in our Financial Services Practice Group will provide you with the opportunity to advise financial services clients, and in particular fund managers, in relation to their Hong Kong Securities and Futures Commission’s (SFC’s) licensing requirements and to handle the preparation, processing and follow up of SFC licence applications.  This is a good opportunity for bright and enthusiastic candidates to gain legal work experience and to further develop their legal career. 

Responsibilities:

As a Licensing, Compliance & Regulatory Executive, you will manage relationships with clients and contacts as a “trusted compliance advisor” and to develop and maintain good relationships with relevant persons at the SFC. Specific responsibilities include but are not limited to:

• Perform preliminary assessments on the proposed activities of companies and individuals and provide advice on the type of SFC licence required
• Assist in new individual and corporate SFC licence applications
• Assist in the preparation of subsequent applications (e.g., additional regulated activity, modification of licensing conditions, FRR return authorised signatories)
• Conduct substantial shareholder (associate) analysis and new substantial shareholder applications
• Respond to SFC enquiries
• Provide notifications to and on-going regulatory filings with the SFC
• Provide advice on-going regulatory requirements and business compliance related matters
• Maintain a flexible approach and be able to accommodate new and varied work flows
• May be required to assist with other regulatory and compliance matters within the compliance unit or the funds group as a whole

Requirements:

• A degree holder in law or other business related discipline
• At least two years of financial industry experience and preferably with an asset manager; candidates with less experience will be considered for the position of Junior Executive
• Wide range of experience including, but not limited to the following areas:
  • SFC licence applications
  • SFC licence maintenance including ongoing filings
• Knowledge of how the securities, futures and asset management industries operate
• Familiarity with the relevant regulatory requirements
• Preferably have worked at the Licensing Department of the SFC and ideally at assistant manager level 1 or higher
• A good communicator with good interpersonal communication skills
• A good team player with good team spirit
• The ability to handle direct client communications and meetings professionally and competently, while always keeping their supervisors fully involved and informed
• Able to speak, read and write English, Cantonese and Mandarin fluently