We are looking for several Regulatory Documentation Specialists to join our team. It would be a good entry point to the compliance field and opportunities to understand related rules of asset management firms and licensed firms in Asia 

Main Role 

• Support the Company and consulting teams on preparation and management of compliance related documentation, client information and regulatory forms. 

Responsibilities and key tasks 

• Work as a team for the handling and preparing relevant regulatory filing and regulatory application for clients 
• Prepare documentations for compliance related forms and regulatory applications including but not limited to filling in SFC forms, visa application forms, compiling regulatory application bundle under supervision and direction from consulting teams. 
• Obtain information from clients and consulting teams to ensure documentations and related forms are properly filled out in accordance with instructions from consulting teams or clients under relevant regulatory requirements 
• Update document status and follow up on the pending documents 
• Perform checking to ensure accuracy of client documents and related regulatory forms
• Perform administrative tasks and ongoing clean-up and housekeeping for proper document filing and organisation 

Requirements: 

• Education: Diploma or above 
• Experience: Min 5 years in Financial Services or Company Secretarial or Legal Services or relevant area
• Experience of working as a law clerk or clerk in banks or financial institutions with documentation handling experience preferred 
• Good attention to details. highly organised and good team player
• Able to prioritise and work under a wide variety of situations
• Self-motivated, resourceful and demonstrate good judgment

Interested candidates should browse www.complianceplus.hk and www.sfc.hk for information about the firm and Hong Kong financial rules and regulations for your own reference. 

To apply, please send your CV to hr@complianceplus.hk with availability date or notice period and expected salary. 

CompliancePlus is an independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider" in 2013 & 2017 by AsianInvestor. Our dedicated team of compliance officers has years of professional experience equipped with in-depth knowledge of both functional and compliance experience in managing and minimizing regulatory, operational and reputational risks.  

As an award-winning industry leader providing compliance solutions and insights to financial institutions and hedge fund managers in Asia, CompliancePlus brings the most comprehensive and value-added compliance services to our clients, enhancing their competitiveness in the finance industry. We also devote substantial resources in staff training and development. We are now looking for Compliance Analysts and successful candidates will be offered a comprehensive and in-depth training programme to become fully equipped compliance professionals on financial rules and compliance requirements relating to financial institutions and licensed firms.

Please visit our website http://www.complianceplus.hk to learn more about us.