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Consultant / Senior Consultant - Risk & Regulatory Compliance (SFC)

SiaHong Kong, Hong Kong

30+ days ago

Job description

Job Description

We are currently looking for a Senior Risk & Regulatory Compliance consultant from a Financial Services industry background (ideally with Management Consulting experience) to join our team in Hong Kong. Our projects are geared around delivering Risk and Regulatory across domains. Applicants with less experience could be considered for a more junior role.

Consultant / Senior Consultant, Hong Kong (Risk & Regulatory)

You will help to build our expertise and guarantee the quality of delivery to ensure market-leading practices for our Hong Kong office, taking into account the global nature of our organisation and our clients.

Responsibilities :

Participate in projects with leading Financial Institutions focusing on asset management, investment, funds, securities services domains.
Conduct regulatory compliance review, internal control review, policies and procedures, risk and compliance advisory and other independent assessments as per the regulatory requirements
Be hands on and contribute to the successful execution of client projects
Able to utilize AI and generative AI tools for project delivery
Assist in the development of new intellectual property including leading-edge research on white papers, supporting the development of marketing materials, and assist in publishing articles
Work closely with our other offices and leverage our global network to take part in cross-selling initiatives and widely share our knowledge

More experienced candidates will have these additional responsibilities :

Independently drive the success of a work stream by directing activities, ensuring high quality deliverables, and timely submissions

Managing a team of consultants by defining meaningful work packages, managing activities, and close mentorship

Participate in business development activities including content development, proposal preparation, and sales presentations

Share consulting best practices with the team

Specific areas of expertise :

Ideally, you would have project experience in one or more of these areas :

Regulatory compliance review on Type 1, 4 and 9

SFC licensing application especially on Type1, 4 and 9

Independent compliance assessment

Compliance advisory on AML / KYC, transaction monitoring, sanctions, data privacy, data quality etc.

Risk management on market, credit, liquidity, investment and / or operational.

Compliance automation and / or RegTech

Qualifications

Key Requirements :

University graduate or above in accounting, business, information technology or related disciplines.

2 to 5 years' relevant experience in risk and regulatory compliance within a reputable consulting firm. Those with less experience could be considered for Consultant level.

Must be familiar with SFO (Cap 571), SFC code of conduct.

Holder of professional qualifications such as CPA, CFA, FRM, CAMS, CISA, CISSP, CIA and / or other related qualification is an advantage.

Good project management and stakeholder management skills

Strong interpersonal, logical and analytical skills

Able to work independently with minimal supervision

Excellent presentation and communication skills with clients and colleagues

Possess an entrepreneurial spirit and team leadership skills

Fluency in spoken and written English and Cantonese is a must. Fluency in Mandarin is an advantage.

In addition to the strong consulting skills and business knowledge that our clients value, the ideal candidate must possess an entrepreneurial mind-set with both a drive and willingness to be involved in all areas of a growing business.

Additional Information

Sia is an equal opportunity employer. All aspects of employment, including hiring, promotion, remuneration, or discipline, are based solely on performance, competence, conduct, or business needs.

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Regulatory Compliance • Hong Kong, Hong Kong