Licensing, Compliance & Regulatory Executive

Job Description

A career in our Financial Services / Commercial Department will provide you with the opportunity to advise financial services clients, and in particular fund managers, in relation to their Hong Kong SFC licensing requirements and to handle the preparation, processing and follow up of SFC licence applications.  Secretarial support will be available for the position.

Responsibilities:

As a Licensing, Compliance & Regulatory Executive, you will need to be 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.  Specific responsibilities include but are not limited to:

  • Preliminary assessments on the proposed activities of companies and individuals and provide advice on the  type of SFC licence required
  • New individual and corporate SFC licence applications
  • Subsequent applications (e.g. additional regulated activity, modification of licensing conditions, FRR return authorised signatories)
  • Substantial shareholder (associate) analysis and new substantial shareholder applications
  • Assistance in responding to SFC enquiries
  • Notifications to and on-going regulatory filings with the SFC
  • Advice on 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
  • 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

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