Compliance Consultant - Regulatory & Compliance

Purpose of the Job

Our thriving Hong Kong Practice is looking for a Compliance Consultant to join the team to deliver high quality compliance support to our Asset Management / Funds clients in Hong Kong, Mainland China and overseas. The successful candidate will also participate in marketing and business development, assist with technical research and the production of technical materials, as well as participating more generally in the development and growth of the company.

The Hong Kong Practice gives specialist advice on regulatory requirements to our clients. Providing guidance and support to clients through the entire regulatory cycle – obtaining the appropriate licence, putting in place fit-for-purpose, commercially-minded compliance frameworks, meeting the expectations of relevant regulators on an ongoing basis, and implementing regulatory change projects.

The successful candidate will provide support primarily to hedge fund managers, but also be able to provide coverage and support for our asset management clients in other asset classes, such as private equity. There will also be opportunity to work with clients in other sectors and in specialist fields such as AML.

Main Responsibilities

The areas in which the Compliance Consultant will be expected to assist clients includes, but is not limited to:

• Drafting policies, procedures and templates.
• Developing training material and assisting in delivering training sessions.
• Assisting with regulatory matters including licensing applications and notifications to the regulators.
• Carrying out compliance health checks and periodic monitoring.
• Responding to ad-hoc and routine regulatory queries.
• Arranging and helping to prepare for client meetings.
• Actively seeking to increase the company’s client base by performing market research and identifying new prospects.
• Attending relevant industry events to build your network and promote the company brand.
• Participating in and where relevant, helping to present at company events and training sessions, such as client briefings on topical regulatory issues and roundtable events aimed at compliance professionals
• Assisting the team with marketing and business development activities
• Actively partnering with global sector teams to support and deliver on shared projects and responsibilities, where required.