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Compliance Assistant
Contract work/ Part-time work
on 2021-11-05 70 views

Have you got an eye for details? Compliance Assistant Wanted!

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】
- Assist in day-to-day compliance matters including trade surveillance work
- Provide compliance advice and support business initiatives
- Handle regulatory reporting and inquiries with the relevant Exchanges and Regulators
- Carry out compliance testing for securities brokerage and other related businesses
- Assist in internal and external audit, inspections, and investigations from Exchanges and Regulators
- Assist in monitoring regulatory changes and update the policies and procedures
- 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
- Assist in ad hoc projects as required

【Job Requirements】
- University/College graduate
- Relevant work experience in the financial or securities industry is preferable
- Good command of written and spoken English and Chinese, proficiency in Putonghua is a privilege
- Proficiency in computer applications such as MS Office
- Responsible, hardworking, well-organized, and able to work under pressure
- A good team player with strong interpersonal and analytical skills

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

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Have you got an eye for details? Compliance Assistant Wanted!
Futu Securities International (Hong Kong) Limited