Total 8 job vacancies by IQ-EQ

Responsibilities

• Understand applicable Acts, Regulations, Notices, Circulars, and Guidelines to address client’s queries
• Tracking of work items and monthly calls
• Drafting of compliance checklists and reports
• Drafting of meeting minutes
• Maintenance of compliance registers
• Drafting of onboarding pack
• Drafting and review of compliance documents
• Assist with routine and ad-hoc administrative tasks

Skills Set

• Highly discreet, organized, and meticulous
• Professional conduct and handle sensitive information with the utmost confidentiality
• Neat, and tidy
• Team player

Responsibilities

• Understand applicable Acts, Regulations, Notices, Circulars, and Guidelines to address client’s queries
• Tracking of work items and monthly calls
• Drafting of compliance checklists and reports
• Drafting of meeting minutes
• Maintenance of compliance registers
• Drafting of onboarding pack
• Drafting and review of compliance documents
• Assist with routine and ad-hoc administrative tasks

Skills Set

• Highly discreet, organized, and meticulous
• Professional conduct and handle sensitive information with the utmost confidentiality
• Neat, and tidy
• Team player

Responsibilities

• Understand applicable Acts, Regulations, Notices, Circulars, and Guidelines to address client’s queries
• Tracking of work items and monthly calls
• Drafting of compliance checklists and reports
• Drafting of meeting minutes
• Maintenance of compliance registers
• Drafting of onboarding pack
• Drafting and review of compliance documents
• Assist with routine and ad-hoc administrative tasks

Skills Set

• Highly discreet, organized, and meticulous
• Professional conduct and handle sensitive information with the utmost confidentiality
• Neat, and tidy
• Team player

Quality Assurance (QA) plays a critical role in ensuring that issue handling and services meet quality standards and customer expectations. By establishing and maintaining quality processes, conducting rigorous assessment and inspections, and driving continuous improvement initiatives, they contribute to the organization's reputation for delivering high-quality solutions and services.

Responsibilities and Duties

• Ticket Analysis and Review: Reviewing and analyzing tickets or reported issues to understand their nature and severity.
• Quality Assessment: Evaluating issue handling or services to ensure they meet quality standards and specifications.
• Identification of Trends and Patterns: Identifying recurring issues or patterns in quality issues to address root causes and prevent future occurrences.
• Coaching and Training: Providing guidance and training to team members to improve their understanding and execution of quality standards and processes.
• Metrics and Reporting: Collecting data and generating reports on quality metrics such as defect rates, resolution times, and customer satisfaction scores to track performance and identify areas for improvement.
• Collaboration and Communication: Working closely with other teams such as shift leads, process analysts, and tech hub engineers to address quality concerns and ensure alignment on quality goals.
• Continuous Improvement: Implementing strategies and initiatives to continuously enhance the quality of services through process improvements, technology upgrades, or skill development.
• Customer Satisfaction Focus: Ensuring that quality efforts are ultimately aimed at improving customer satisfaction by delivering services that meet or exceed their expectations.

Responsibilities

• Understand applicable Acts, Regulations, Notices, Circulars, and Guidelines to address client’s queries
• Tracking of work items and monthly calls
• Drafting of compliance checklists and reports
• Drafting of meeting minutes
• Maintenance of compliance registers
• Drafting of onboarding pack
• Drafting and review of compliance documents
• Assist with routine and ad-hoc administrative tasks

Skills Set

• Highly discreet, organized, and meticulous
• Professional conduct and handle sensitive information with the utmost confidentiality
• Neat, and tidy
• Team player

Responsibilities (how we will measure success)

The Associate Compliance Consultant will be a junior member of the team and will successfully support consultants on a portfolio of Firms by providing compliance advice, including a variety of core compliance areas and technical AML assistance, aiming to ensure positive client feedback.

Part of a growing team and business, this is a multi-faceted role, created in response to client requests for dedicated support combining:

Ongoing compliance assistance, in the form of regular monitoring and attending advisory meetings; and

Supporting a team of senior consultants with the aim of developing into a consulting role.

Tasks (what does the role do on a day-to-day basis)

• Responsive regulatory advice and solutions;
• Supporting varied engagements such as: KYC refresh projects, AML Risk Assessments and Internal Capital and Risk Assessments (ICARA);
• Updating clients on regulatory changes and how it impacts their business;
• Drafting and updating relevant policies, procedures and internal working documentation for clients;
• Working with senior consultants and clients to devise their risk-based monitoring programmes or thematic risk assessments;
• Supporting regular compliance monitoring or review visits  with clients, and subsequently writing up working papers and reports;
• Involvement in designing and running training courses;
• Involvement in reviewing upcoming regulatory requirements and drafting thought leadership publications;
• Supporting senior consultants and clients  in completion and reviews of RegData filing and financial reporting;
• Building / developing client relationships.

• Assist in tracking regulatory rules changes in APAC and help managing the SFC, JFSA, MAS, ASIC and other regulators’ calendars (consultation papers, regulatory updates/changes implementation date etc).
• Assist to conduct research relating to basic regulatory topics
• Assist in distributing client alerts.
• To understand the FRR rules in Hong Kong and help prepare a first draft of Financial Resource Rules (“FRR”) Form of Licensed Corporations (“LC”) as per SFC regulatory requirements.
• Assist with preparing draft regulatory disclosures for clients for client review and approval.  
• Prepare first draft of compliance reports for clients based on information provided by Regulatory Compliance case managers.
• Updating and monitoring of compliance registers for ongoing compliance support clients.
• Distributing notification reminders about changes in particulars and regulatory filings to the ongoing compliance support clients
• Maintaining and sharing of the industry training calendar to the Reg Com team.
• Assisting with research on clients and prospects.
• Collecting and checking on completeness of KYC documents from clients to assist client onboarding.
• Assists in administrative tasks for Regulatory Compliance training team.
• Maintain files and records in a proper and organized manner.
• Perform ad hoc support and other duties assigned.

Regulatory Research

• Tracking regulatory rules changes in APAC and help managing the SFC, JFSA, MAS, ASIC and other regulators’ calendars (consultation papers, regulatory updates/changes implementation date etc) and maintain the internal tracking records for distribution to Regulatory Compliance Staff
• Conducting research on regulatory changes
• Updating current client Asian regulatory information packs for changes.
• Preparing client alerts on breaking regulatory news issues.

FRR work

• Review Financial Resource Rules (“FRR”) Form of Licensed Corporations (“LC”) as per SFC regulatory requirements.
• Monitor liquidity and capital positions of LCs to ensure compliance with relevant rules and regulations.
• Provide consultation in forecasting the financial impact for potential investments, dividend declaration etc on liquidity of the LC.
• Assist in post audit FRR and Account Disclosure Document (“ADD”) required to be submitted to the SFC.
• Handle other FRR matters and basic enquires from the regulators, clients and other parties.

Ongoing Compliance Support

• Review first draft compliance reports prepared by juniors.
• Timely reply and follow-up with client enquiries and queries relating to the tasks performed.
• Review of compliance registers and reports prepared by junior .

Policies & Procedures

• Maintaining existing templates for compliance policies and procedures
• Issuing client customised templates
• Assisting with updating the template for regulatory changes.
• Assisting to prepare mock inspection and compliance healthcheck  reports.

Internal Communications and Information

• Stay up to date with new regulatory changes and developments to brief HK RegCom team members

Client Onboarding

• Assist to research information about clients and prospects.

Others

• Ensure information is up-to-date, accurate and aligned with company standards and requirements.
• Maintain files and records in a proper and organized manner.
• Perform ad hoc support and other duties assigned.