Regulatory Compliance Specialist
23 hours ago
Futu Securities International (Hong Kong) Limited is seeking a highly motivated Regulatory Compliance Specialist to join our team.
About the RoleThis 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.
- 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.
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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