Chief Compliance Architect

Futu Holdings Limited; Hong Kong; On-site; HKD 1,200,000 - 2,400,000; Full time

Job summary

Futu Holdings Limited in Hong Kong is seeking a seasoned Head of Compliance to develop and maintain a comprehensive program across all business units. You will oversee policies, procedures and controls, monitor regulatory changes, and report to senior management.

The role requires a strong track record in securities compliance, leadership of a large team, and the ability to drive risk-based initiatives while collaborating with boards and regulators.

Qualifications

• Bachelor's degree in finance, law, business administration or related field.
• Minimum 10 years in compliance within securities industry; at least 5 in leadership.
• Strong understanding of financial products, markets and trading practices.
• Excellent leadership, communication and interpersonal skills.
• Experience with compliance technology and systems.

Responsibilities

• Develop and maintain a comprehensive compliance program across all units.
• Oversee policy implementation, procedures and controls.
• Monitor changes in securities laws and industry standards and update the program.
• Conduct risk assessments and develop mitigation strategies.
• Lead and mentor the compliance team.
• Coordinate internal audits and regulatory examinations; respond to inquiries.
• Develop and deliver employee compliance training.
• Advise senior management on compliance matters and business risks.
• Manage the compliance budget and resources.
• Prepare and present regular reports to the Board and senior management.

Skills

Leadership

Regulatory Compliance

Risk Management

Financial Markets Knowledge

Policy Development

Auditing

Training & Development

Stakeholder Communication

Project Management

Education

Bachelor's in finance/law/BA

Advanced degree (JD/MBA) preferred

Tools

Compliance technology

Regulatory reporting tools

Job description

Futu Holdings Limited in Hong Kong is seeking a seasoned Head of Compliance to develop and maintain a comprehensive program across all business units. You will oversee policies, procedures and controls, monitor regulatory changes, and report to senior management.

The role requires a strong track record in securities compliance, leadership of a large team, and the ability to drive risk-based initiatives while collaborating with boards and regulators.