Compliance Expert for Securities and Futures
2 weeks ago
Futu Securities International (Hong Kong) Limited is seeking a highly skilled Compliance Expert to join our team.
Responsibilities:- Support the supervision of licensing-related projects and provide expert advice on compliance matters.
- Offer guidance to various business units on securities brokerage and wealth management compliance requirements.
- Evaluate and advise on legal and compliance contracts, ensuring they meet regulatory standards.
- Collaborate with internal stakeholders to implement compliance requests, enhance internal controls, and refine company procedures.
- Manage internal and external audits, regulatory filings, inspections, and investigations.
- Develop and conduct comprehensive compliance training programs.
- Participate in ad-hoc compliance projects as assigned.
- Bachelor's degree in Law, Business, Finance, or related fields.
- At least 5 years of experience in compliance within financial institutions, with fintech expertise being an advantage.
- Professional certifications in AML or compliance are desirable.
- In-depth knowledge of Securities and Futures Commission regulations and relevant requirements.
- Strong problem-solving skills, attention to detail, and excellent interpersonal abilities.
- Proficiency in written and spoken English and Chinese (including Putonghua).
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