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Compliance Manager

2 weeks ago

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

Overview:

Futu Securities International (Hong Kong) Limited is a leading financial services provider, and we are seeking an experienced Compliance Manager to join our team.

Responsibilities:

  • Licensing and Compliance: Assist in supervising licensing-related works and providing expert advice on licensing issues to ensure compliance with relevant regulations.
  • Compliance Advisory: Provide regulatory guidance to various business units within the company, focusing on securities brokerage and wealth management operations.
  • Contract Review: Conduct thorough reviews and offer advice on legal and compliance contracts and documentation to ensure alignment with regulatory requirements.
  • Internal Controls: Handle and implement compliance requests with internal stakeholders to enhance the company's internal controls and procedures.
  • Audit and Investigations: Manage internal and external audit, enquiries, regulatory filings, inspections, and investigations from auditors, Exchanges, and Regulators.
  • Compliance Training: Develop and conduct compliance training programs for employees.
  • Ad Hoc Projects: Perform ad hoc compliance projects as assigned by senior management.

Requirements:

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