Compliance Officer (General Compliance)

Futu Holdings Limited; Hong Kong; On-site; HKD 420,000 - 780,000; Full time

Job summary

Futu Holdings Limited in Hong Kong seeks a Compliance professional to monitor regulatory changes and update internal policies. You will handle licensing, annual returns, and ongoing SFC reporting, while reviewing staff dealing activities and maintaining restricted/watch lists.

The role includes in-house training and relevant ad hoc projects to ensure regulatory adherence. The ideal candidate has a degree in law/accountancy/finance, 2+ years in finance or law firms, strong SFC knowledge, and

Qualifications

• Undergraduate degree in Law, Accountancy, Finance or related disciplines.
• Minimum 2 years in brokerage, financial institutions, big 4 or law firms.
• Solid understanding of SFC Code of Conducts and regulatory requirements.
• Knowledge of securities and investment products and their operation.
• Familiar with FATCA/QI/CRS requirements is an advantage.
• Project management experience on new rules, products or business is a plus.
• Responsible, hardworking and well-organized; good team player.
• Strong interpersonal, analytical skills and professional maturity.
• Excellent verbal and written Chinese/English; Mandarin a plus.

Responsibilities

• Monitor regulatory changes and update policies and procedures.
• Handle regulatory reporting and inquiries with Exchanges and Regulators.
• Handle research report clearance.
• Manage licensing matters, notification, annual return, surveys and ad hoc reports.
• Handle ongoing SFC reporting matters.
• Oversee staff dealing review and monitoring.
• Maintain and update stock restricted lists and watch lists.
• Conduct in-house compliance training.
• Assist in ad hoc projects as required.

Skills

Regulatory compliance

SFC knowledge

Analytical skills

Communication skills

Team player

Education

Undergraduate degree in Law/Accountancy/Finance

Job description

• Monitor regulatory changes and update the policies and procedures
• Handle regulatory reporting and inquires with the relevant Exchanges and Regulators
• Handle research report clearance
• Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
• Handle on-going SFC reporting matters
• Handle staff dealing review and monitoring
• Maintain and update stock restricted list and watch lists
• Conduct in-house compliance training
• Assist in ad hoc projects as required

Requirements :

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 2 years of work experience in brokerage firms, financial institutions, big 4 audit firm or law firms experience is welcomed
• Robust and solid understanding of SFC Code of Conducts and relevant regulatory requirements
• Knowledge of securities and investment products and its operation
• Familiar with FATCA/QI/CRS requirements is an advantage
• Preferable to have project management experience on implementation of new rules, products or business
• Responsible, hardworking and well-organized
• A good team player with strong interpersonal and analytical skills as well as high degree of professional maturity
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus