Regulatory Affairs Manager

4 weeks ago


Aberdeen, United Kingdom Hkese Full time

Manager / Senior Associate
– SFC Licensed Corporation Consulting (Compliance, Accounting and Operation)
Alpha Financial Consultancy Limited
Broad exposure in SFC licensed business – type 1, 4 and 9
Alpha Financial Consultancy Limited () is an asset management business consultancy firm serving boutique fund managers, especially SFC Type 4 & 9 licensed corporations. We are looking for manager / senior associate candidates who have interestin developing in SFC licensed asset management business, and are keen to apply and grow their knowledge and experiences by working with a growing company like ours.
Perform compliance work, including compliance reviews, internal audits, compliance monitoring and record keeping (e.g. personal account dealing, CPT, gift/entertainment, complaints, etc.)
Prepare, maintain and / or implement compliance manuals, policies and procedures.
Prepare / review FRR, BRMQ, ADD, and other SFC surveys.
Prepare updateson SFC regulatory developments.
Handle regulatory compliance enquiries.
Handle book-keeping, management account preparation, and annual audit coordination.
Provide business development support, includingpreparing contracts, term sheets, sales pitches, etc.
Develop materials and / or conduct training relating to compliance, accounting and operation.
Handle finance management and office administrative tasks.
Degree holder in Finance/Accounting/Law/Risk Management or other related disciplines.
At least 3 to 5 years of compliance experience in SFC licensed type 1, 4 and 9 regulated activities.
Strong knowledge of laws, rules and regulations in respect of Type 1, 4, and 9 regulated activities.
Professional and practical approaches when providing regulatory compliance services.
Experience in handling bookkeeping and coordinating audits of SFC Type 4 and 9 business.
Work experience at the SFC is a plus.
Good command of spoken and written English, Cantonese and Mandarin.
Full Time, 9:30 am – 6:30 pm Monday to Friday.
Bank holidays.
Full Time
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