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Senior Compliance Consultant

Job Title: Senior Compliance Consultant
Contract Type: Part-time
Location: Central
Salary: to be discussed
Start Date: as soon as possible
Duration: permanent
REF: #A823
Contact Name: Marie
Contact Email:
Job Published: about 2 years ago

Job Description

A leading compliance and regulatory consultancy is looking for a senior compliance consultant on a part-time basis to be an essential part of the team to assist and advise clients regarding their regulatory obligations. 

You will be an integral team with the ability to serve a wide portfolio of high quality asset management clients, primarily in the alternative asset management industry. The work environment offers a variety of interesting projects. It would be suitable for someone looking for a flexible work environment and like to perform quality work to meet high standards demanded by our sophisticated client base.



  • Supporting the regulatory queries and requests by our clients regulated by the SFC, SEC and CFTC
  • Drafting compliance policies and procedures based upon research conducted regarding applicable legal requirements and market practice
  • Conducting periodic SFC and SEC compliance and documentation reviews and reporting on observations and recommendations
  • Providing ad hoc regulatory advice to help our clients meet regulatory expectations
  • Updating our clients on regulatory changes
  • Helping our clients benchmark readiness and implement changes with SFC rule revisions
  • Delivering compliance training for our clients
  • Testing in-house Compliance software under development
  • Preparing ADV Brochure and other relevant documents for U.S. registrations
  • Meeting with our clients and prospective clients
  • Playing a supporting role to assist senior management in certain business development activities, including meeting prospective clients and relationship building
  • Conducting compliance research or special projects for ad hoc assignments
  • Reviewing FRR during reporting deadlines


  • Experience in a regulatory compliance or legal role
  • Good understanding of buy-side compliance issues generally
  • Organization and project management skill
  • Broad understanding of U.S. rules and regulations applicable to Hong Kong asset managers
  • Good understanding of the asset management industry, preferably with prior buy-side experience
  • Ability to communicate and demonstrate a clear and logical thought processes
  • Ability to work on own initiative and as part of a team
  • Strong English presentation skills and written communication skills
  • Good analytical skills
  • Experience in an auditing role is preferred but not required.