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Assistant Compliance Manager / Compliance Manager (General Compliance)

Assistant Compliance Manager / Compliance Manager (General Compliance)

Futu Securities International (Hong Kong) LimitedHong 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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