Compliance Assistant (Part-Time), General Compliance

Futu Holdings Limited; Hong Kong; On-site; HKD 420,000 - 680,000; Full time

Job summary

Futu Holdings Limited is seeking a Compliance professional in Hong Kong to support day-to-day compliance matters including trade surveillance and regulatory reporting. The role involves providing compliance guidance for business initiatives and assisting in audits and investigations by exchanges and regulators.

The ideal candidate is a university graduate with good English and Chinese, Putonghua a plus, and proficiency in MS Office.

Qualifications

• University/College graduate.
• Relevant work experience in financial or securities industry preferable.
• Proficient in written and spoken English and Chinese; Putonghua a plus.
• Proficiency in MS Office applications.
• Responsible, hardworking, well-organized, and able to work under pressure.
• Good team player with strong interpersonal and analytical skills.

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 Exchanges and Regulators.
• Carry out compliance testing for securities brokerage and related businesses.
• Assist in internal and external audits, inspections and investigations by Exchanges and Regulators.
• Monitor regulatory changes and update policies and procedures.
• Coordinate remediation with various departments and stakeholders.
• Assist in ad hoc projects as required.

Skills

Interpersonal skills

Analytical skills

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