Assistant Compliance Manager / Compliance Manager (General Compliance)

Futu Holdings Limited; Hong Kong; On-site; HKD 650,000 - 900,000; Full time

Job summary

Futu Holdings Limited is seeking an experienced Compliance professional to supervise licensing matters and provide guidance across the securities brokerage and wealth management units. The role focuses on regulatory compliance, contract review, and coordinating audits with internal teams and regulators.

The ideal candidate holds a degree in Law/Business/Finance, with at least five years in compliance within financial institutions.

Qualifications

• Minimum 5 years of compliance experience in financial institutions.
• Professional qualification on AML or compliance is an advantage.
• Sound knowledge of Securities and Futures Commission rules and regulatory requirements.
• Self-motivated, able to work independently, detail oriented with good interpersonal skills.
• Proficiency in written and spoken English and Chinese (including Putonghua).

Responsibilities

• Assist to supervise licensing related works and advise on licensing issues.
• Provide compliance advice to business units in relation to securities brokerage and wealth management.
• Review and advise on legal and compliance contracts and documentation.
• Handle and implement compliance requests with internal stakeholders to enhance internal controls.
• Manage internal and external audits, regulatory filings and inspections.

Skills

AML compliance

Regulatory knowledge

Attention to detail

Independent working

English proficiency

Putonghua

Education

Degree in Law/Business/Finance

Job description

• Assist to supervise licensing related works and offer advice on licensing issues
• Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
• Review and advise on legal and compliance contracts and documentation
• Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the company
• Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, exchanges and regulators
• Conduct compliance training
• Perform ad hoc compliance projects as assigned

Requirements

• Degree holder in Law, Business, Finance or related disciplines
• Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage
• Professional qualification on AML or compliance is an advantage
• Sound knowledge in rules and regulations of Securities and Futures Commission 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)