Licensing, Compliance & Regulatory Manager

Deacons; Hong Kong; On-site; HKD 900,000 - 1,400,000; Full time

Job summary

Deacons seeks a Licensing, Compliance & Regulatory Manager for its Financial Services Practice Group in Hong Kong. You will manage SFC licensing matters, assist with applications, and handle regulatory filings while advising clients on regulatory compliance strategies.

The role requires a solid background in law or related business disciplines, 3-5 years in financial services or regulatory work, and fluent English with Cantonese and Mandarin as a plus.

Qualifications

• Law or business degree required.
• 3-5 years of financial industry, law firm, or regulatory experience.
• Experience with SFC licensing and ongoing filings preferred.
• Strong communication and interpersonal skills.
• Fluent in English; Cantonese and Mandarin a plus.

Responsibilities

• Lead SFC licensing and regulatory projects for clients.
• Assist with new and ongoing SFC licence applications and maintenance.
• Prepare documents for licensing, filings, and regulatory inquiries.
• Conduct regulatory analyses and advise on licensing conditions.
• Interact with clients and supervisors professionally and timely.

Skills

SFC licensing

Regulatory compliance

Regulatory filings

Client communications

Team collaboration

Education

Law degree or related business degree

Tools

None

Job description

A career in our Financial Services Practice Group will provide you with the opportunity to advise financial services clients, and in particular fund managers, in relation to their Hong Kong Securities and Futures Commission's (SFC's) licensing and regulatory requirements and to handle the preparation, processing and follow up of SFC licence applications. This is a good opportunity for bright and enthusiastic candidates to gain legal / compliance work experience and to further develop their legal / compliance career.

Responsibilities

As a Licensing, Compliance & Regulatory Manager, you will be expected to take up SFC licensing and compliance works, with key responsibilities as follows:

• Performing preliminary assessments on the proposed activities of companies and individuals and providing advice on the type of SFC licence required
• Assisting with new individual and corporate SFC licence applications
• Assisting in the preparation of subsequent applications (e.g., additional regulated activities, modification of licensing conditions, FRR return authorised signatories)
• Conducting substantial shareholder (associate) analysis and preparing new substantial shareholder applications
• Responding to SFC regulatory enquiries
• Helping with on-going regulatory filings with the SFC
• Providing SFC regulatory and compliance advices
• Maintaining a flexible approach and be able to accommodate new and varied work flows
• May be required to assist with other regulatory matters including but not limited to mock inspections and / or fund formation or registration works

Requirements

• A degree holder in law or other business related discipline
• At least 3-5 years of financial industry experience / law firm / regulatory experience
• Wide range of experience including, but not limited to the following areas:
• -SFC licence applications
• -SFC licence maintenance including ongoing filings
• Knowledge of how the securities, futures and asset management industries operate
• Familiarity with the relevant regulatory requirements
• A good communicator with good interpersonal communication skills
• A good team player with good team spirit
• The ability to handle direct client communications and meetings professionally and competently, while always keeping their supervisors fully involved and informed
• Able to speak, read and write English, Cantonese and Mandarin fluently

We are an Equal Opportunity Employer. All applications will be treated in strict confidence. Personal data collected will be used for recruitment purposes only. Information on unsuccessful candidates will be kept up to 2 years after the recruitment process.