Compliance Assistant (Part-Time), General Compliance

Futu Holdings Limited; Hong Kong; On-site; HKD 312,000 - 446,000; Full time

Job summary

Futu Holdings Limited in Hong Kong seeks a Compliance Associate to assist in day-to-day compliance matters, provide guidance to business teams, and handle regulatory reporting with exchanges and regulators.

The role involves supporting audits, monitoring regulatory changes, and collaborating across departments to remediate issues, while ensuring accuracy in documentation and adherence to policies.

Qualifications

• University/College graduate.
• Proficiency in MS Office.
• Relevant work experience in financial or securities industry is preferable.

Responsibilities

• 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 of regulatory changes and update the policies and procedures.
• Manage internal and external audit, 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.

Skills

English proficiency

Chinese proficiency

Putonghua

Analytical skills

Team player

Education

University/College graduate

Tools

MS Office

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 of regulatory changes and update the policies and procedures
• Manage internal and external audit, 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

Requirements

• University/College graduate
• Relevant work experience in 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