Key responsibilities:
As a Compliance Consulting Manager, you will immerse yourself in the world of regulatory consulting by guiding clients through the complexities of SFC capital requirements, licensing processes, and ongoing compliance obligations.
- Manage clients' regulatory communications, capital compliance, and recordkeeping with minimal supervision
- Act as primary liaison for SFC regulatory capital and reporting requirements
- Build and maintain strong, credible client relationships
- Prepare and submit SFC licensing applications, filings, and notifications (routine and ad hoc)
- Provide end-to-end regulatory support, ensuring accuracy, timeliness, and compliance across all submissions
Candidate profile:
To excel in this role, you will bring a blend of practical experience in regulatory or financial services settings along with an eagerness to deepen your understanding of local compliance frameworks.
- Bachelor's degree preferred; accounting coursework or bookkeeping experience, with solid understanding of general accounting principles
- Minimum 5 years' experience in regulatory, audit, financial services operations, or compliance functions
- Knowledge of Securities and Futures Ordinance (SFO) and SFC rules/processes is an advantage
- Proficient in Microsoft Office (Word, Excel) for reporting and data handling
- Strong analytical, organisational, and project management skills; able to work independently and in teams
- Excellent communication and interpersonal skills; fluent in written and spoken Chinese and English (Putonghua preferred)
- Detail-oriented, logical thinker, proactive learner; flexible to handle ad hoc tasks and evolving responsibilities
About the company:
A firm operating within the professional services and compliance support industry, providing advisory and operational assistance to organisations with regulatory and reporting needs. It stands out through a practical, solutions-driven approach and a focus on efficiency and accuracy. The company emphasises consistent service delivery, adaptability, and strong client collaboration to help businesses manage complex requirements with confidence.
Keywords: compliance, regulatory, SFC, capital, reporting, licensing, advisory, governance, audit, risk
What's next:
If you're ready to take the next step in your compliance consulting career, apply now!
