Assistant Manager, Regulatory Compliance

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.  We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.  

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.  

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.  

We’re driven by our Group purpose, to power people and possibilities.  

Responsibilities (how we will measure success)

We are seeking a highly skilled Assistant Manager to join our team for the provision of

compliance services to clients. The ideal candidate will have experience with preparation, review

and filing of Financial Resources Rules (FRR) returns to the Securities and Futures Commission

(SFC). This role involves providing compliance advisory services focusing on FRR to clients

regulated by the SFC and addressing complex issues relating to FRR returns and liquid capital.

Tasks (what does the role do on a day-to-day basis)

• Assist clients to review or draft periodic FRR returns, ensuring accuracy and consistency
• Advise clients with complex FRR related issues and questions
• Work closely with clients to handle SFC queries, relating to FRR matters
• Monitor and manage FRR engagements for clients, ensuring that deadlines are met
• Independently keep abreast of relevant updates to SFC rules and use of WINGS platform, pertaining to FRR returns
• Conduct FRR trainings internally and externally when required
• Assist colleagues from other teams/business line within IQ-EQ with ad-hoc FRR related issues and questions
• Perform any other ad-hoc tasks as assigned by the Associate Director

Key competencies for position and level

• Familiarity with SFC regulations and WINGS relating to FRR returns.
• Strong analytical skills with excellent attention to detail
• Sound judgement and initiative
• Ability to provide solutions and handle complex regulatory compliance related issues
• Effective and efficient communication
• Results oriented and ability to multitask and manage high volumes of priorities in a fast paced environment

Key behaviors we expect to see

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role

holder will be expected to demonstrate the following:

• Taking Ownership
• Resilience
• Positivity
• Proactivity

What we offer

• Comprehensive remuneration and pension: motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
• Wellbeing: additional social benefits such as private health and dental cover, life assurance and etc
• Annual leave: our employees are entitled to 25 days paid leave plus all statutory public holidays
• Maternity and paternity leave, education leave and etc
• Flexible working: we recognise the value of working flexibly and want to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements.

Essential Criteria:

• Bachelor’s degree in Accounting, Finance, or equivalent fields
• 3-5 years’ relevant experience in audit (particularly of financial institutions) or in house compliance in the financial industry.
• Hands-on experience in client servicing
• Familiar with regulatory requirements relating to FRR
• Strong MS Office skills, particularly Excel
• Excellent written and verbal communication skills in English and Chinese Mandarin
• Prior knowledge of the financial industry and regulatory regime in Hong Kong.
• Flexible attitude, able to work individually and as part of a team.

OUR COMMITMENT TO YOU AND THE ENVIRONMENT  

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.  

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee. 

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential.  Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.