Career Opportunity - Global Consultancy, Compliance Consultant Career Opportunity - Global Consultancy,  …

Arion House
in Hong Kong
Permanent, Full time
Be the first to apply
Arion House
in Hong Kong
Permanent, Full time
Be the first to apply
A unique and exciting opportunity for a Consultant to join our thriving Hong Kong practice to deliver high quality, specialist advice to our Asset Management / Funds & Capital Markets clients in Hong Kong, Mainland China and overseas. The successful candidate will also participate in marketing and business development to ensure that the team maintains a sufficient pipeline of client work, as well as assist with technical research and producing technical materials.

Technical qualities

  • Recent in-house compliance experience of at least 5 years in a fund manager, or in another professional services company

  • Demonstrate deep understanding of both the business issues in the Asset Management sector across a range of asset classes, as well as the key regulatory challenges faced

  • A strong technical understanding of the relevant aspects of the SFC rules and regulations, and of the regulatory pipeline is critical, for example the FMCC.

  • Deep knowledge of the regulatory requirements applying to Asset Managers is imperative.

  • Knowledge of wider regional or global requirements would be advantageous

  • A broad understanding and an appetite to keep learning

Client delivery

  • Take personal responsibility for meeting and exceeding the agreed billable hours target, ensuring you have a sufficient pipeline of client work
  • Provide advice and support to clients on a wide range of regulatory compliance matters. This may include:

    • drafting policies, procedures and templates

    • writing training material and delivering training sessions

    • liaising with the regulator on behalf of / regarding the client

    • conducting client interviews

    • assisting with regulatory matters including licensing applications, and compiling and submitting

      regulatory returns and filings

    • preparing comprehensive reports

    • supporting projects with multiple workstreams

    • responding to ad-hoc and routine regulatory queries

  • Act as the main point of contact and relationship manager for a portfolio of clients. This may include:
    • responding to all queries, managing client expectations and delegating work, where necessary
    • reviewing work of colleagues and providing constructive feedback
    • ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries
    • dealing with any complaints quickly and effectively

  • Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required

  • At all times adhere to the firm’s Quality Assurance Framework prior to submission to the client

  • Accurately record all client time in the CRM system

  • Ensure all client files are in good order and details of relevant contacts are updated in the CRM system

Business development

  • Take personal responsibility for meeting and exceeding the agreed sales credits target

  • Build and maintain professional working relationships with clients, trade bodies and the regulator(s)

  • Actively seek to increase the firm's pipeline by targeting new clients, as well as leveraging existing client relationships to maximise opportunities for up-selling and cross-selling

  • Prepare well-presented, accurately priced proposals and present these to prospective clients

  • Represent the firm at industry events, promoting the brand

  • Participate in internal events and training sessions such as client briefings and roundtable events etc.

  • Assist the team with marketing and business development activities including:

    • writing articles for the website and social media

    • preparing marketing material

  • Record all touch-points, leads, opportunities and proposals in the CRM system

Regulatory knowledge

  • Keep abreast of regulatory developments and understand how client activities may be impacted

  • Develop a thorough understanding of clients’ businesses and requirements so you can provide relevant and accurate advice

  • Help develop the firm's technical capacity within the relevant sector(s) by:

    • highlighting skills and knowledge gaps
    • contributing to internal training initiatives and sharing knowledge across the firm
    • attending relevant training sessions and industry events

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