Compliance Manager

Futu Holdings Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Futu Holdings Limited is seeking an experienced Compliance professional to lead and coordinate responses to regulatory inquiries in Hong Kong. The role focuses on monitoring SFC rules, conducting risk assessments, and guiding businesses on regulatory obligations with accuracy and timeliness.

The ideal candidate holds a relevant degree and at least six years’ compliance experience in financial services, with strong English and Chinese communication, and the ability to manage multiple tasks under

Qualifications

• Bachelor's degree in Business Administration, Risk Management, Law, Finance, or related disciplines.
• Solid understanding of SFC rules, guidelines, and regulatory requirements; familiarity with SFC and other relevant Hong Kong financial regulators is a plus.
• Minimum 6 years of compliance experience in financial institutions (e.g., brokerage, asset management, private banking) or professional services firms.
• Self-motivated and independent, with a strong sense of responsibility; detail-oriented and analytical mindset; able to exercise sound judgment under pressure.
• Strong organisational and project management skills, with the ability to multitask, prioritise effectively, and meet tight deadlines in a dynamic environment.
• Excellent written and spoken English and Chinese; fluency in Mandarin is preferred; strong presentation and management skills.

Responsibilities

• Handle and respond to regulatory investigations, enquiries, and surveys received from regulators in a timely and professional manner
• Monitor and interpret new and updated regulatory requirements, assessing their impact on business operations and providing legal and compliance advisory services
• Conduct comprehensive compliance assessments on various products, services, and business initiatives to identify potential regulatory risks
• Perform regular business reviews and compliance audits to ensure ongoing adherence to regulatory requirements and internal standards
• Prepare the internal training for various business department, ensuring staff are equipped with up-to-date regulatory knowledge
• Develop, review, and continuously update compliance policies, procedures, and manuals
• Manage other compliance tasks and ad hoc projects as assigned by the Compliance Department
• Participate in special projects, including system enhancements, and process improvements

Skills

Regulatory compliance

Regulatory knowledge

Analytical mindset

Project management

Bilingual EN/CN

Education

Bachelor's degree in Business Administration, Risk Management, Law, Finance, or related disciplines

Job description

• Handle and respond to regulatory investigations, enquiries, and surveys received from regulators in a timely and professional manner
• Monitor and interpret new and updated regulatory requirements, assessing their impact on business operations and providing legal and compliance advisory services
• Conduct comprehensive compliance assessments on various products, services, and business initiatives to identify potential regulatory risks
• Perform regular business reviews and compliance audits to ensure ongoing adherence to regulatory requirements and internal standards
• Prepare the internal training for various business department, ensuring staff are equipped with up-to-date regulatory knowledge
• Develop, review, and continuously update compliance policies, procedures, and manuals
• Manage other compliance tasks and ad hoc projects as assigned by the Compliance Department
• Participate in special projects, including system enhancements, and process improvements

Requirements:

• Bachelor's degree in Business Administration, Risk Management, Law, Finance, or related disciplines
• Solid understanding of SFC rules, guidelines, and regulatory requirements; familiarity with SFC and other relevant Hong Kong financial regulators is a plus
• Minimum 6 years of compliance experience in financial institutions (e.g., brokerage, asset management, private banking) or professional services firms
• Self-motivated and independent, with a strong sense of responsibility; detail-oriented and analytical mindset; able to exercise sound judgment under pressure
• Strong organisational and project management skills, with the ability to multitask, prioritise effectively, and meet tight deadlines in a dynamic environment
• Excellent written and spoken English and Chinese; fluency in Mandarin is preferred; strong presentation and management skills