Compliance Expert for Securities and Futures

2 weeks 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 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.
Requirements:
  • 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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