Compliance Consultant - Regulatory & Compliance
Purpose of the Job
Our growing Hong Kong Practice is seeking a Compliance Consultant to deliver high‑quality regulatory and compliance support to our asset management and funds clients across Hong Kong, Mainland China, and international markets. The role also contributes to marketing, business development, technical research, and the wider growth of the firm.
The team provides specialist regulatory advice throughout the full compliance lifecycle, from securing licences and building practical, commercially minded compliance frameworks to supporting ongoing regulatory obligations and implementing regulatory change.
The successful candidate will work primarily with hedge fund managers while also supporting clients across other asset classes, including private equity, and gaining exposure to specialist areas such as AML. There will be opportunities to work with clients across multiple sectors and jurisdictions.
Main Responsibilities
- Draft policies, procedures, manuals, and template documents.
- Develop training materials and support the delivery of internal and client training sessions.
- Assist with regulatory matters, including licence applications and regulatory notifications.
- Conduct compliance health checks and periodic monitoring reviews.Handle routine and ad‑hoc regulatory queries from clients.
- Prepare for and coordinate client meetings.
- Support business development by researching market opportunities and identifying new prospects.
- Attend industry events to build networks and promote the firm.
- Contribute to company events and training sessions, including briefings on regulatory developments and roundtable discussions.
- Assist with marketing initiatives and broader business development activities.
- Collaborate with global sector teams to support shared projects and deliver consistent, high‑quality service.
Qualifications
Knowledge, Skills & Experience
- Fluency in Cantonese and English is essential, with Mandarin considered an advantage.
- Holds a relevant diploma‑level qualification in investment or compliance, or is willing to work toward one (e.g., ICA).
- Strong compliance experience gained in a financial institution, law firm, consultancy, or regulatory body.
- Solid understanding of SFC and HKMA regulations, including the SFC’s policies and procedures.
- Strong technical knowledge of the fund management or broking sector, plus familiarity with AML regulations.
- Proven ability to interpret regulatory rules and guidance and turn them into practical, fit‑for‑purpose compliance solutions.
Additional Information
All staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful. These are:
- We are CLIENT CENTRIC – Clients are at the centre of our world, and we’re committed to providing expertise and specialist solutions to meet their most complex challenges.
- We are AMBITIOUS – We aim high. We think and act globally, seizing every opportunity to delight our clients and support our colleagues - wherever in the world they may be.
- We are AGILE – We act on our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple, efficient and effective.
- We are COLLABORATIVE – With a curious mindset, we ask the right questions to get to the right solution, for our clients faster. We collaborate to win together and share our successes.
- We are ETHICAL – We behave with integrity at all times and assume positive intent, building trust through responsible actions and honest relationships.
Equal Opportunities for Everyone
Please let us know if there’s anything we can do to make the process easier for you. You can reach us at careers@ocorian.com.
We’re an equal opportunity employer. All applicants will be considered for employment without attention to age, ethnicity, religion, sex, sexual orientation, gender identity, family or parental status, national origin, or veteran, neurodiversity or disability status.