Assistant Manager, Regulatory Compliance (Regulatory Inspections)

We are seeking a highly skilled Assistant Manager to join our team for the provision of compliance consultancy services to clients. The ideal candidate will have a strong background in regulatory compliance and exceptional client-facing abilities. This role involves providing compliance advisory services to clients regulated by the Securities and Futures Commission (SFC) and addressing complex compliance issues, with a special focus on health-checks, mock inspections, reviews of policies & procedures, and operational audits.TasksHandle Mock Inspections and Compliance Health check projects for financial institutionsReview, draft, update, and customize compliance policies, ESG Policy, and internal control and operations policies and proceduresHandle Policy Gap Analysis projects for financial institutionsAssist the team leader(s) in regulatory inspections advisory projectsManage other compliance related projects assigned by the senior management team (i.e. Regulatory Research, Rules Maps and regulatory change tracking)Perform any other ad-hoc tasks as assigned by the ManagerResearch and Advisory: Conduct thorough research on regulatory updates, rules, and regulations, providing clients with timely advice to navigate compliance challenges.​​​​​​​OtherPerform any additional tasks as directed by the Associate Director to support the team and enhance client services.