Compliance Consultant

Key Responsibilities

Client Delivery:

• Regulatory Compliance Advisory – Support clients on policies, procedures, compliance monitoring, and regulatory matters.
• Training & Development – Assist in creating training materials and delivering compliance training sessions.
• Regulatory Engagement – Help with licensing applications, regulatory communications, and responding to queries.
• Compliance Monitoring – Conduct health checks, track regulatory changes, and assess their impact on clients.
• Client & Project Management – Organize meetings, maintain client files, and collaborate with global teams.

Business Development:

• Client Relationship Management – Maintain professional relationships and consistent client communication.
• Market Expansion & Networking – Identify new business opportunities, attend industry events, and support branding efforts.
• Marketing & CRM Support – Contribute to events, training sessions, and track client interactions in the CRM system.

Requirements:

• Degree-level education with a relevant professional diploma (investment or compliance-related) or willingness to pursue one.
• Fluent in Cantonese; Mandarin proficiency is a plus.
• Compliance experience in a financial institution, legal practice, consultancy, or regulatory body.
• Strong knowledge of SFC and HKMA regulations and familiarity with SFC policies and procedures.
• Excellent communication and stakeholder management skills, both written and verbal.
• Highly organized, able to manage multiple projects under tight deadlines.
• Detail-oriented and analytical, capable of simplifying complex information into clear insights.
• Commercially aware with an entrepreneurial mindset, proactive in identifying new opportunities.