Senior Compliance Officer
on 2021-11-05 54 views

Do you have high attention to detail? Join us as our Senior Compliance Officer!

Futu Securities International (Hong Kong) Limited

Futu Securities International (Hong Kong) Limited members View more

  • Berry Lai
    Business (Finance, HR etc.)

What we do

We are a recognized Fintech Unicorn & Asia’s top-ranked online broker, providing a one-stop online investing services & experience.
Registered by Hong Kong's Securities and Futures Commission (CE No. AZT137), Futu redefines online brokerage services in Hong Kong & Mainland China with our leading internet & financial technology, we continue to improve customer experience and drive industrial innovation backed by our independent technological Research & Development capabilities on the whole trading process and our creative internet operating model.

Why we do

We are committed to optimizing today's securities services, by incorporating cutting-edge internet technology and design to provide investors an easy one-stop investing experience.

How we do

Our Core Values
- Integrity: Lead by example. Treat and handle problems fairly and objectively.
- Efficiency: Act as an efficient and trustworthy partner to offer more reliable products.
- Excellence: Anticipate and rapidly respond to customer needs.
- Perfection: Provide perfect services to customers. Always pay attention to details.

As a new team member

【Job Description】
- Provide compliance advice and support business initiatives
- Monitor regulatory changes and update the policies and procedures
- Handle regulatory reporting and inquires with the relevant Exchanges and Regulators
- Develop, manage and carry out compliance testing for securities brokerage and other related businesses
- Provide value-added recommendations for policy, process, and system enhancement to mitigate compliance risks
- Manage internal and external audits, inspections, and investigations from the auditors, Exchanges, and Regulators
- Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
- Conduct in-house compliance training
- Assist in ad hoc projects as required

【Job Requirements】
- Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
- Minimum 3-5 years of work experience in brokerage firms, financial institutions, big 4 audit firms, or law firms experience is a plus
- Robust and solid understanding of SFC Code of Conducts and relevant regulatory requirements
- Knowledge of securities and investment products and their operations is a plus
- Preferable to have project management experience on implementation of new rules, products, or businesses
- Responsible, hardworking and well-organized
- A good team player with strong interpersonal and analytical skills as well as a high degree of professional maturity
- Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus

Click 'I'm interested!' to get in touch! (Please fill out your profile before application, empty profiles will not be considered.)

Other users cannot see whether or not you're interested.

Do you have high attention to detail? Join us as our Senior Compliance Officer!
Futu Securities International (Hong Kong) Limited