Senior Compliance Associate - Regulatory Operations

Our client - a leading compliance and regulatory advisory consultancy, recognized for delivering exceptional service to an elite clientele that includes institutional hedge funds, quantitative trading houses, and private equity firms. Their expertise lies in navigating complex regulatory requirements, enabling their clients to operate with confidence and integrity. To support their growing client services function, they are looking for a capable and driven professional to join our team.

This is a key position within their operations team, offering the opportunity to take ownership of critical regulatory functions. You will work autonomously on client-facing matters, providing practical, solutions-oriented support across a range of compliance and licensing activities.

Responsibilities:

1. Serve as the primary point of contact for client matters involving the Securities and Futures Commission (SFC), covering regulatory submissions, capital compliance monitoring, and maintenance of statutory records.
2. Take full ownership of corporate SFC licence applications, steering each case from initiation through to successful approval with limited oversight.
3. Build and sustain trusted, long-term advisory relationships with clients, positioning yourself as a reliable resource on regulatory and compliance issues.
4. Prepare and deliver both recurring and ad hoc SFC notifications, ensuring all submissions are accurate, complete, and submitted within regulatory deadlines.

Requirements:

1. 2 to 5 years of relevant experience gained within a compliance consultancy or law firm, with demonstrable involvement in SFC corporate licensing matters.
2. Prior exposure to regulatory affairs, audit processes, financial services operations, or general compliance functions.
3. A working familiarity with accounting concepts, bookkeeping practices, or completion of relevant accounting coursework (a formal accounting degree is not required).
4. Fluency in written and spoken English, Cantonese, and Mandarin is mandatory.
5. Proficient in Microsoft Office applications, with strong hands-on capability in Word and Excel.
6. Possess sharp analytical skills, excellent organizational abilities, and proven project coordination experience.
7. A self-directed individual who can work autonomously with minimal supervision, while also contributing positively within a team-oriented environment.
8. Outstanding interpersonal and communication skills, coupled with a genuine client-focused approach and the ability to build lasting professional relationships.