Compliance Officer (General Compliance)

Futu Securities International (Hong Kong) Limited; Hong Kong; On-site; HKD 400,000 - 650,000; Full time

Job summary

Futu Securities International (Hong Kong) Limited is seeking a Compliance Officer to monitor regulatory changes and update policies. You will handle regulatory reporting with exchanges and regulators, review licensing matters, and oversee ongoing SFC reporting.

The role requires an undergraduate degree in law, finance, or related fields, at least 2 years in financial services, and strong knowledge of SFC codes and regulatory requirements. Bilingual skills in English and Chinese are essential.

Qualifications

• 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 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.

Responsibilities

• Monitor regulatory changes and update the policies and procedures.
• Handle regulatory reporting and inquiries with the relevant Exchanges and Regulators.
• Handle research report clearance.
• Handle 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.

Skills

Regulatory knowledge

SFC Code of Conduct

Regulatory reporting

Communication skills

Project management

Education

Undergraduate Degree in Law

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

Your application will include the following questions:

• Which of the following statements best describes your right to work in Hong Kong?
• What's your expected monthly basic salary?
• How many years' experience do you have as a compliance officer?
• What is your highest level of education?
• How would you rate your Mandarin language skills?