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Financial Institution Advisor

2 weeks ago

Hong Kong Island, Hong Kong SAR China Futu Holdings Limited Full time
Job Details

The ideal candidate for this Senior Compliance Officer position should have a solid understanding of regulatory requirements and be able to provide guidance on compliance matters.

Responsibilities
  • Collaborate with business units to identify and mitigate compliance risks.
  • Develop and implement policies and procedures for regulatory compliance.
  • Monitor and assess the effectiveness of the compliance program and suggest improvements.
  • Communicate regulatory updates and changes to relevant stakeholders.
  • Deliver in-house training on compliance best practices.
Required Skills
  • University graduate in Law, Accountancy, Finance, or related fields.
  • Minimum 3 years of experience in the securities brokerage industry.
  • Excellent understanding of SFC codes and regulatory requirements.
  • Strong analytical skills and effective communication abilities.
  • Proficiency in English and Chinese, with fluency in Mandarin being an asset.