Regulatory Compliance Specialist

23 hours ago


Hong Kong, Central and Western District, Hong Kong SAR China Futu Securities International (Hong Kong) Limited Full time
Job Description

Futu Securities International (Hong Kong) Limited is seeking a highly motivated Regulatory Compliance Specialist to join our team.

About the Role

This is an exciting opportunity for a compliance professional to take on a key role in ensuring the firm's adherence to regulatory requirements. As a Regulatory Compliance Specialist, you will be responsible for investigating compliance and red flags, liaising with regulators, and reporting suspicious cases to relevant authorities.

Key Responsibilities
  • Compliance Investigations: Conduct thorough investigations into compliance and red flag matters, identifying potential issues and developing recommendations for improvement.
  • Liaison with Regulators: Build strong relationships with regulators, including the SFC and JFIU, to ensure effective communication and collaboration on compliance matters.
  • Reporting and Documentation: Prepare and submit reports to regulators as required, maintaining accurate and detailed records of compliance activities.
Requirements
  • Education: Undergraduate degree in Law, Accountancy, Finance, or related disciplines.
  • Experience: Minimum 1-2 years of compliance and/or trade surveillance experience, or 3 years of solid experience in a well-known brokerage firm dealing room.
  • Skills: Sound knowledge of trade surveillance systems, programming languages, and financial instruments; strong analytical skills and attention to detail; excellent communication and teamwork skills.
Benefits

Futu Securities International (Hong Kong) Limited offers a competitive compensation package, opportunities for career growth and development, and a dynamic work environment.



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