● Client management with top-tier asset management in Hong Kong and Asia
● Managing the end-to-end cycle of licensing application with the SFC
● Assist companies with completing and submitting relevant notifications or other applications with the SFC
...
● Conduct mock SFC inspections, including overseeing and reviewing the work of the project team, preparing mock SFC inspection reports, and reviewing draft reports prepared by the project team
● Advising on compliance policy and procedure reviews
● Serve as relationship manager in supporting clients with their compliance questions and needs
● Conduct research to formulate positions on SFO-related compliance matters
● Conduct research, write articles, and/or make internal or client presentations and industry speeches on compliance-specific issues
● Ability to succinctly identify and communicate required compliance advisory feedback, explain the regulatory basis for suggested changes to clients
● Ability to assist with compliance protocols and training regarding all compliance policies, procedures examinations, and audits
● Ability to independently review, interpret and share feedback/opinions for new regulations coming online
● Finds the answer to regulatory questions and explains the process and how certain conclusions were derived
● Assist in implementing "best practices" in all client-interfacing activities
● Dedicated to upholding high-quality standards and customer service focus
● Excellent time management skills with the proven ability to work under tight deadlines and be able to prioritize and manage multiple projects and assignments
show more
● Client management with top-tier asset management in Hong Kong and Asia
● Managing the end-to-end cycle of licensing application with the SFC
● Assist companies with completing and submitting relevant notifications or other applications with the SFC
● Conduct mock SFC inspections, including overseeing and reviewing the work of the project team, preparing mock SFC inspection reports, and reviewing draft reports prepared by the project team
● Advising on compliance policy and procedure reviews
● Serve as relationship manager in supporting clients with their compliance questions and needs
● Conduct research to formulate positions on SFO-related compliance matters
● Conduct research, write articles, and/or make internal or client presentations and industry speeches on compliance-specific issues
● Ability to succinctly identify and communicate required compliance advisory feedback, explain the regulatory basis for suggested changes to clients
● Ability to assist with compliance protocols and training regarding all compliance policies, procedures examinations, and audits
● Ability to independently review, interpret and share feedback/opinions for new regulations coming online
...
● Finds the answer to regulatory questions and explains the process and how certain conclusions were derived
● Assist in implementing "best practices" in all client-interfacing activities
● Dedicated to upholding high-quality standards and customer service focus
● Excellent time management skills with the proven ability to work under tight deadlines and be able to prioritize and manage multiple projects and assignments
show more