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Assistant Compliance Manager / Compliance Manager (General Compliance)
Futu Securities International (Hong Kong) LimitedHong Kong12 days ago
Job descriptionDegree 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)
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 :
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Manager Manager • Hong Kong