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Regulatory Compliance Specialist

2 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Futu Securities International (Hong Kong) Limited Full time
Company Overview
Futu Securities International (Hong Kong) Limited is a leading financial institution committed to providing innovative brokerage services to clients worldwide.

Job Description
We are seeking a highly skilled Regulatory Compliance Specialist to join our team in Hong Kong. As a key member of our compliance department, you will play a vital role in ensuring the company's adherence to regulatory requirements and maintaining a strong reputation in the industry.

The successful candidate will be responsible for conducting investigations on compliance and red flags, liaising with regulatory bodies such as the Securities and Futures Commission (SFC), Joint Financial Intelligence Unit (JFIU), and other law enforcement units. You will also address responses to enquiries and requests from regulators, securities exchange, and other law enforcement units regarding post-trade and pre-trade control or related issues.

Additionally, you will assist in constructing market abuse risk analysis and mapping trade surveillance controls to resolve residual risk. This will involve analyzing, maintaining, and improving rule setting of the trade surveillance program, running parameters calibration periodically to ensure effectiveness and reliability of the system against market abuse dynamics.

Key responsibilities include:
  • Conducting investigations on compliance and red flags, and reporting suspicious cases to relevant authorities;
  • Liaising with regulators, securities exchange, and other law enforcement units;
  • Addressing responses to enquiries and requests from regulators and other law enforcement units;
  • Assisting in constructing market abuse risk analysis and mapping trade surveillance controls;
  • Analyzing, maintaining, and improving rule setting of the trade surveillance program;

Required Skills and Qualifications
To succeed in this role, you will need:
  • A Bachelor's degree in Law, Accountancy, Finance, or a related discipline;
  • A minimum of 1-2 years of experience in compliance and/or trade surveillance, or equivalent experience in a well-established brokerage firm dealing room;
  • Sound knowledge and experience of trade surveillance systems (SMARTS/SARS/FCC-related) and programming languages (VBA/Python/C/Ruby/Java);
  • Strong understanding of regulatory frameworks, including AML, CTF, and market abuse regulations, along with a solid knowledge of HKEX rules and regulations, as well as SFO, SFC codes, guidelines, and regulatory requirements;
  • Self-motivated, independent, and able to proactively manage cases and drive projects forward;
  • Solid analytical skills to handle large data sets with strong attention to detail;
  • A team player with strong communication, numerical aptitude, and analytical skills, as well as high professional maturity;
  • Excellent verbal and written communication skills in English, with proficiency in Mandarin a plus.

Benefits
We offer a competitive salary package, opportunities for professional growth and development, and a dynamic work environment that fosters collaboration and innovation.