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Assistant Compliance Manager / Compliance Manager (General Compliance)
Futu Securities International (Hong Kong) Limited
Hong Kong
10 days ago
Job description
Responsibilities
Assist to supervise licensing related works and offer advice on licensing issues
Provide pliance advice to the different business units in relation to securities brokerage and wealth management business
Review and advise on legal andpliance contracts and documentation
Handle and implementpliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of thepany
Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, Exchanges and Regulators
Conductpliance training
Perform ad hocpliance projects as assigned
Requirements :
Degree holder in Law, Business, Finance or related disciplines
Minimum 5 years of pliance experience in financial institutions, and fintechpany experience is an advantage
Professional qualification on AML orpliance is an advantage
Sound knowledge in rules and regulations of Securities and Futures mission and relevant regulatory requirements
Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills
Proficiency in written and spoken English and Chinese (including Putonghua)
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