Compliance Consultant - Regulatory & Compliance

Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance

We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high net-worth individuals and family offices.

With a curious mindset, we ask the right questions to get to the right solution, faster. We collaborate to win together, sharing successes and shaping the future of our global business. Our culture of support and recognition provides the tools and opportunities for you to grow, while unlocking the most value for our clients and making your mark with Ocorian.

Expertise: We deliver specialist, tech-enabled solutions for our clients grounded on deep industry expertise.

Trust: We’re a trusted partner to over 8,000 clients globally. We are proud to have long-lasting partnerships with our clients.

Scale: With more than 1,500 colleagues, we operate across 20+ countries, our scale enables us to support our clients globally and locally, providing a seamless client experience across borders and service lines.

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.

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.

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 [email protected].

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.