SEC Compliance Consultant (Buy Side)

  • bonus
  • Hong Kong
  • Permanent, Full time
  • Hudson Hong Kong
  • 22 Sep 16

Our client is a leading financial institution with a prestigious history and global operations. They are seeking senior candidates with extremely strong compliance backgrounds to join their Hong Kong office with a focus on SEC Buy Side Compliance. This is a fantastic opportunity to work within a forward thinking firm with a respected work culture.

In this senior position your responsibilities will include:

  • Leading a team of 4 compliance consultants who have large active client portfolios
  • Responsible for your own client base who are seeking approval from the SEC for their onshore/offshore funds
  • Ensuring accurate and up-to-date compliance policy is delivered to clients
  • Consistently monitor and engage with government bodies to ensure best in class service is delivered to clients
  • On-site observations of clients compliance framework to ensure they comply with local and international regulation
  • Quarterly reports on compliance regulation change distributed to clients
  • Develop new business through the firms and your own professional network
  • Build relationships with industry bodies


  • A long successful track record of working in the compliance space. Regulatory body preferred
  • Excellent understanding of SEC regulations and their applicability for firms operating in Hong Kong and internationally
  • Perfect communication skills in English. Cantonese and Mandarin an advantage, not essential
  • An extremely personable character and the ability to get on with people from many different backgrounds, this is a client facing role
  • Solution focused, logical and an innate ability to present complex information in a clear and concise manner
  • Ability to work under pressure to many different deadlines
  • A history of working in the legal space an advantage but by no means essential
  • Degree at a minimum

To apply please click on the "Apply" button or contact Matthew Thomas at quoting ref no. HK111994 or call +852 2919 6126 for a confidential discussion. Your interest will be treated in strict confidence.