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Assistant Compliance Manager

3 months ago

Hong Kong, Hong Kong SAR China Futu Securities International (Hong Kong) Limited Full time

Responsibilities :

  • Assist to supervise licensing related works and offer advice on licensing issues
  • Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
  • Review and advise on legal and compliance contracts and documentation
  • Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the Company
  • Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, Exchanges and Regulators
  • Conduct compliance training
  • Perform ad hoc compliance projects as assigned

 

Requirements :

  • Degree holder in Law, Business, Finance or related disciplines
  • Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage
  • Professional qualification on AML or compliance is an advantage
  • Sound knowledge in rules and regulations of Securities and Futures Commission and relevant regulatory requirements
  • Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills
  • Proficiency in written and spoken English and Chinese (including Putonghua)