Senior Associate, Regulatory Compliance

ABOUT IQ-EQ

Is a global investor services group with deep expertise in private markets. We support investment managers, asset owners and global businesses with the administration, compliance, governance, data and reporting that their structures depend on.

Across 25 jurisdictions, our 6,500+ professionals combine technical strength, connected technology and human understanding – the IQ and the EQ – to free clients from operational complexity and give them the peace of mind to focus on their core business activities.

Our IQ is our technical, regulatory and operational expertise, underpinned by data, technology and coordinated global delivery. Our EQ is our human partnership: understanding the business behind the numbers, the culture behind the structures and the individuals behind the screens.

With more than US$950 billion of assets under administration, our global client base includes 13 of the world’s top 15 private equity firms* and 19 of the top 25 private debt firms**.

One relationship connects our clients to the right expertise as needs evolve, helping them move forward with clarity and confidence, wherever they operate..

To find out more about IQ-EQ visitiqeq.com

What you'll do:

Responsibilities (how we will measure success)

We are seeking a highly skilled Senior Associate to join our team for the provision of compliance consultancy services to clients. The ideal candidate will have a strong background in regulatory compliance and exceptional client-facing abilities. This role involves providing comprehensive compliance advisory services to clients regulated by the Securities and Futures Commission (SFC) and addressing complex compliance issues.

Tasks (what does the role do on a day-to-day basis)

• You'll serve as the primary point of contact for clients, delivering compliance consultancy services and responding to compliance-related inquiries for SFC-regulated financial institutions.
• You'll conduct regulatory research, monitor updates to rules and regulations, and provide timely compliance advice to help clients navigate regulatory requirements and challenges.
• You'll prepare and submit SFC licensing applications, ad hoc filings, and supporting documentation while managing communications with regulators and stakeholders.
• You'll lead regular compliance meetings, prepare compliance reports, execute compliance monitoring reviews, and implement client-specific compliance monitoring plans.
• You'll draft, review, and submit regulatory reports and returns, as well as support Financial Resources Rules (FRR) matters and inquiries from regulators, clients, and other relevant parties.

Other

• Perform any additional tasks as directed by the Associate Director to support the team and enhance client services.

Key competencies for position and level

• Strong analytical skills with excellent attention to detail
• Sound judgement and initiative
• Ability to provide solutions and handle complex regulatory compliance related issues
• Effective and efficient communication of regulatory information
• Results oriented and ability to multitask and manage high volumes of priorities in a fast-paced environment

Key behaviours we expect to see

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

• Taking Ownership
• Resilience
• Positivity
• Proactivity

What we offer:

• Comprehensive remuneration: Motivating financial packages based upon market rates for your role and are proportionate to your qualifications, level of experiences and skills profile
• Wellbeing: Additional social benefits such as Medical and Dental insurance coverage on your Day 1 with 2 dependents covered and group life and accident insurance
• Annual leave: All our employees are entitled to 25 days paid leave
• Hybrid working arrangement: We recognize the value of working flexibly and are keen to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements
• Support and development: We will ensure you have the right training, tools and development plan to grow and improve your skills every day

About you:

Required Experience

Essential Criteria:

• You hold a bachelor’s degree in Law, Accounting, Finance, or a related discipline.
• You possess excellent written and verbal English communication skills; proficiency in Cantonese and/or Mandarin is an advantage but not required.
• You have knowledge of Hong Kong’s financial services industry and regulatory framework.
• You have prior experience in a compliance role within a regulated financial institution, compliance consultancy firm, or a similar environment.
• You are a collaborative team player who can work effectively under pressure, manage competing priorities, and meet tight deadlines.

Desired Criteria:

• Strong MS Office skills
• Sound knowledge on regulatory compliance in Hong Kong
• Experience in client facing roles would be an advantage
• Knowledge of the Financial Resources Rules and experience in computing FRRs would be highly advantageous.

As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, long-term relationships with all our stakeholders, including our employees, clients, and local communities, while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve, whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We're committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees' careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to colleagues. We want to empower our 5,500+ employees, from 94 nationalities, speaking 41 languages across 25 countries, to each achieve their potential. Through IQ-EQ Launchpad, we support female managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We're committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our clients' sustainability and success leads to our sustainability and success. We're emotionally invested in our clients right from the beginning.