Compliance Analyst

About the role

Compliance Quarter is a boutique of thirty consultants in Wan Chai. Our clients are Type 1, 4 and 9 licensed corporations between five and eighty staff, the size where the Responsible Officer is also the person answering the SFC's questions at six on a Friday evening. We are the team they call.

We are adding an analyst because two fund-manager clients came on in June and a third is applying for a Type 9 uplift. The work is a rotation by design: one week you are drafting a compliance manual, the next you are testing a client's best-execution monitoring, the next you are sitting in on a licensing interview.

You will report to Priya Sandhu and work in a pod of four. Nobody here has an army of juniors to hide behind, so your written work goes to the client with your name on it from month three.

What you'll do

• Draft and refresh compliance manuals, conflicts registers and personal account dealing policies for SFC-licensed clients.
• Run monthly monitoring programmes covering best execution sampling, staff dealing reconciliation and marketing material review, and write up exceptions clearly.
• Prepare licence applications and change-of-particulars filings through WINGS, then chase the queries that follow.
• Track SFC circulars, HKMA guidance and AMLO amendments, and turn each into a one-page client note that says what actually changes.
• Support annual compliance reviews at client offices, including file testing and interviewing front-office staff.
• Maintain breach and complaints registers, and draft the incident reports that go to Responsible Officers.

What we're looking for

• Bachelor's degree in law, finance, accounting or a related discipline.
• One to three years in compliance, internal audit or a regulator, or a strong internship record if you are close to that.
• HKSI Paper 1 passed, or a commitment to sit Papers 1, 7 and 8 within your first year, which the firm pays for.
• Precise written English, and Cantonese for calls with local Responsible Officer teams.
• Comfortable telling a client you will confirm by four o'clock rather than guessing on the call.

Nice to have

• Familiarity with the SFC's WINGS portal or the HKMA's supervisory returns.
• Exposure to the virtual asset trading platform regime.
• Mandarin for clients with Mainland parent companies.

What you get

• HKSI and ICA examination fees, study leave and a pass bonus
• 15 days' annual leave plus your birthday off
• Medical, dental and an annual health screening
• Friday finish at 5pm, blocked out in everyone's calendar
• Discretionary bonus paid in every year since the firm opened