Compliance Manager (SFC Licensed Corp)

uSMART Securities Limited; Hong Kong; On-site; HKD 500,000 - 900,000; Full time

Job summary

uSMART Securities Limited in Hong Kong invites an experienced Compliance Manager to conduct risk-based reviews ensuring adherence to SFO, SFC codes, and applicable guidelines. You will identify control gaps, prepare reports with recommendations, and drive remediation tracking.

Responsibilities include assisting the Department Head to update compliance policies, programs and procedures, plus handling ad-hoc tasks. Strong English and Cantonese/Putonghua communication is required.

Qualifications

• Degree holder in Law, Finance, Accounting, or related disciplines.
• Minimum 5 years in compliance or audit, with exposure to Type 1, 4, 6 & 9 activities.
• Solid knowledge of equities, futures, options; knowledge of HK SFO, SFC codes and Guidelines.
• Knowledge of QI, CRS and FATCA will be preferred.
• Good command of written and spoken English and Chinese (Cantonese and Putonghua).

Responsibilities

• Conduct risk-based compliance reviews to ensure regulatory adherence.
• Identify regulatory risks and control issues; prepare review reports with recommendations.
• Follow up remediation actions to closure.
• Assist Department Head in updating policies, programs and controls.
• Handle ad-hoc tasks as assigned by the head of compliance.

Skills

Regulatory compliance

Audit experience

SFO/SFC knowledge

English & Chinese

Education

Law, Finance, Accounting, Business

Job description

Conduct risk-based compliance reviews to ensure adherence to regulatory / internal requirements

Identify and evaluate regulatory compliance risk and control issues and prepare compliance review reports to highlight exceptions and provide recommendations for improvement

Follow up on remediation work

Assist Department Head to formulate and update policies, programs and control procedures

Handle ad-hoc tasks as assigned by the head of compliance

Job Requirements:

Degree holder in Law, Finance, Accounting, Business or related disciplines;

Minimum 5 years solid working experience in compliance or audit, with at least 3 years in relation to type 1, 4, 6 & 9 regulated activities.

Sound working knowledge of equities, futures, options and good knowledge of SFO, SFC codes and Guidelines, Listing Rules, Takeover Codes and the HKFE Rules and Regulations

Knowledge of QI, CRS and FATCA will be preferred.

Good command of written and spoken English and Chinese (Cantonese and Putonghua)

We offer attractive remuneration package to the right candidates. Interested parties please send your current and expected salary by email.

Data collected will be used for recruitment purpose only.

uSMART Securities is a new generation of Internet brokers in Hong Kong that provides investors with simple, professional and low-cost global investment services through technological innovation and artificial intelligence technology.

uSMART Securities (CE no. BJA907) is licensed under The Securities and Futures Ordinance (Chapter 571), and allowed to carry on Type 1, Type 2,Type 4，Type 5, Type 6,and Type 9 regulated activities. We are committed to complying with Financial Services Compliance to safeguard investor asset and to provide excellent service.

uSMART Securities is a new generation of Internet brokers in Hong Kong that provides investors with simple, professional and low-cost global investment services through technological innovation and artificial intelligence technology.

uSMART Securities (CE no. BJA907) is licensed under The Securities and Futures Ordinance (Chapter 571), and allowed to carry on Type 1, Type 2,Type 4，Type 5, Type 6,and Type 9 regulated activities. We are committed to complying with Financial Services Compliance to safeguard investor asset and to provide excellent service.

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