Senior Associate / Manager

ALPHA FINANCIAL CONSULTANCY LIMITED; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Benefits offered by this job

Start-up culture

Flexible work arrangements

Job summary

Alpha Financial Consultancy Limited in Hong Kong is seeking experienced professionals in compliance, finance & administration, operation, and business development. The role covers regulatory compliance for SFC licenses (types 1, 4, 9), finance and office administration, and business development duties to support senior leadership.

The position offers a startup culture with work-life balance, onsite at Cyberport and potential hybrid/remote arrangements after probation.

Qualifications

• Startup mindset with high integrity, diligence, commitment, responsibility, reliability, adaptability, client responsiveness, hands-on approach, organisation, independence, self-motivation, initiative, and strong team collaboration.

Responsibilities

• Performing duties and / or delivering for compliance functions: reviews, monitoring, and policy/procedure reviews.
• Keeping abreast of regulatory developments for SFC licensed business.
• Performing duties for supporting finance and administration functions: book-keeping, management accounts, budgeting, forecasting, and bank reconciliations.
• Supporting operation officer duties: fund launches, trade confirmation checks, and position reconciliations.
• Supporting business development: proposals, pitch books, and meetings coordination.

Skills

Startup mindset

Time management

Project management

Communication

Interpersonal skills

English and Chinese proficiency

Client-service focus

Independence

Education

Law

Accounting

Finance

Tools

MS Word

MS Excel

MS PowerPoint

Chinese word processing

Job description

(Compliance, Finance & Administration, Operation, and Business Development)

Company Description

Alpha Financial Consultancy Limited (https://aimgroup.asia/wordpress/) is a growing boutique asset management business consultancy firm serving SFC licensed corporations, especially to SFC licensed asset management companies.

We are inviting experienced professionals with a solid foundation to join our team. If you have industry experience and are ready to take on greater responsibilities, lead initiatives, and grow into a larger role, we welcome your application to develop your career with us.

Job Highlights

• All-rounded experiences in SFC licensed business, especially type 9 asset management, type 4 securities advising, and type 1 securities dealing.
• Experiences in serving clients who are seasoned finance professionals, especially asset management.
• Start-up culture, for example work-life-balanced flexibility.
• Good career prospects, including becoming a SFC type 4 and 9 licensed representative / responsible officer.

Job duties

Performing duties and / or producing deliverables for supporting compliance functions, for instance compliance reviews and monitoring, preparation and/or review of compliance manuals, policies and procedures, regulatory filing and response to regulatory enquiries and delivery of compliance related training.

Keeping abreast and preparing updates of regulatory developments of SFC licensed business.Keeping abreast of and preparing updates of regulatory developments of SFC licensed business.

Finance & Administration

Performing duties and / or producing deliverables for supporting finance and / or administrative officer related functions, for instance, book-keeping, management account and financial statement preparation, budgeting and forecasting, bank account opening and maintenance, financial controls (e.g. billing and collection, monitoring of working and liquid capital, bank reconciliations, etc.), accounting related training, and administrative tasks (including human resources for Senior Associates).

Liaising and coordinating with service providers to provide timely and quality support on finance functions, e.g. bankers, auditors, tax advisors, company secretaries, etc.

Liaising and coordinating with internal teams and external service providers to provide timely and quality support on office administration in a serviced office environment.

Performing duties and / or producing deliverables for supporting operation officer and related functions, for instance launching funds, fund accounting, shareholder services, operation controls (e.g. trade confirmation checking, trade / cash position reconciliations, etc.), operation related training, etc.

Keeping abreast of and industry and operation related developments and making corresponding processes and controls in place.

Liaising and coordinating with service providers to provide timely and quality support on operation functions, e.g. brokers, custodians, bankers, auditors, tax advisors, company secretaries, etc.

Business Development

Performing duties and / or producing deliverable for supporting executive officer / sales head and related functions, for instance preparing proposals, quotations, pitch books, quotations, term sheets, social media posts.

Coordinating and / or hosting investor and / or prospect meetings which may be in different time zones.

Liaising and coordinating with service providers to promote the profile of the firm profile, the group profile and the services

Leading, developing and managing a team including associate and / or administrative assistant to perform the above duties, while performing the above responsibilities on own self whenever necessary to deliver client-service-focused products or services.

Job requirements

• Demonstrating a startup mindset with high integrity, diligence, commitment, responsibility, reliability, adaptability, client responsiveness, hands-on approach, organisation, independence, self-motivation, initiative, and strong team collaboration.
• Having positive attitude and capable of delivering services and products with client-service-focused approaches of institutional standards, and willing to learn and improve client services continuously.
• Demonstrating excellent skills of time management, project management, communication and interpersonal skills.
• Strong skills in researching and understanding / knowledge of and experiences in applying laws, rules and regulations in respect of type 1, 4, and 9 regulated activities.
• Professional and practical approaches when applying knowledge and experiences to provide services and resolving problems.
• For Senior Associate, preferably 2+ years of legal, compliance and / or audit / accounting experience in SFC licensed business, type 1, 4 and / or 9.
• For Manager, preferably 4+ years of legal, compliance and audit / accounting experiences in SFC licensed business, type 9 is a must while type 1 and / or 4 are advantageous
• Excellent in MS Word, Excel, PowerPoint, and Chinese word processing.
• Professional spoken, written, and typing English and Chinese (Cantonese and Mandarin).
• Proficient in leveraging Programming languages, Chatbot and AI apps to improve work efficiency is advantageous.
• Degree holder of Law, Accounting, Finance or majors in related fields.

Work Location: Cyberport

Please refer to the following for more locations: https://www.cyberport.hk/wp-content/uploads/PDFCyberport_Tenant_Bus_Service_English_Version.pdf?ver=1786093658

Working Hours:

• 09:00 - 18:00 (5 days per week)
• Bank holidays off

This role begins onsite to support team integration, with potential for hybrid/remote arrangements post-probation based on business needs and subject to management’s approval.

Candidates will only be considered where their resumes include the current and expected salary information.