Manager/Assistant Manager - Regulatory Compliance

Futu Holdings Limited; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Job summary

Futu Holdings Limited in Hong Kong is seeking a seasoned Compliance professional to develop and oversee the regulatory compliance framework, manage licensing applications, and coordinate with internal teams to monitor compliance risks.

The role requires strong knowledge of SFC rules, experience in fintech, and the ability to lead compliance projects, train staff, and respond to regulatory inquiries with precision.

Qualifications

• Degree holder in Law, Accountancy, Finance, or related disciplines.
• Minimum 5-8 years of work experience in fintech, brokerage firms, financial institutions.
• Strong product knowledge and solid understanding of SFC regulatory requirements.
• Knowledge/experience in Compliance Technology (RegTech) and AI-related compliance (e.g., AI governance, model risk, monitoring of AI-driven client onboarding / surveillance / marketing).
• Good project and time management experience
• Self-motivated, able to work independently, detailed oriented, well organised with excellent problem-solving skills
• Strong leadership, interpersonal and analytical skills as well as high degree of professional maturity
• Excellent command of written and spoken English and Chinese, and proficiency in Mandarin is a plus.

Responsibilities

• Develop and execute the compliance framework to comply with regulatory requirements as well as supporting business initiatives.
• Handle licensing applications and related matters.
• Liaise and collaborate with different departments to monitor and manage compliance risks.
• Manage regulatory applications, reporting, inquiries and complaints from the Exchanges, Regulators or upstream brokers.
• Review policies and procedures, marketing materials to ensure full compliance.
• Co-ordinate internal and external audit, inspections and investigations from the auditors, Exchanges and Regulators.
• Conduct risk assessment and perform compliance testing, and follow up on remediation measures.
• Collaborate with relevant departments to monitor and implement regulatory updates.
• Carry out and co-ordinate compliance projects as assigned.
• Prepare and deliver compliance training and communications to staff.

Education

Degree holder in Law/Accountancy/Finance or related disciplines

Job description

• Develop and execute the compliance framework to comply with regulatory requirements as well as supporting business initiatives.
• Handle licensing applications and related matters.
• Liaise and collaborate with different departments to monitor and manage compliance risks.
• Manage regulatory applications, reporting, inquiries and complaints from the Exchanges, Regulators or upstream brokers.
• Review policies and procedures, marketing materials to ensure full compliance.
• Co-ordinate internal and external audit, inspections and investigations from the auditors, Exchanges and Regulators.
• Conduct risk assessment and perform compliance testing, and follow up on remediation measures.
• Collaborate with relevant departments to monitor and implement regulatory updates.
• Carry out and co-ordinate compliance projects as assigned.
• Prepare and deliver compliance training and communications to staff.

Requirements:

• Degree holder in Law, Accountancy, Finance, or related disciplines
• Minimum 5-8 years of work experience in fintech, brokerage firms, financial institutions. Exposure to Virtual Assets or Web 3.0 is an advantage.
• Strong product knowledge and solid understanding of SFC regulatory requirements.
• Knowledge/experience in Compliance Technology (RegTech) and AI-related compliance (e.g., AI governance, model risk, monitoring of AI-driven client onboarding / surveillance / marketing) is an advantage.
• Good project and time management experience
• Self-motivated, able to work independently, detailed oriented, well organised with excellent problem-solving skills
• Strong leadership, interpersonal and analytical skills as well as high degree of professional maturity
• Excellent command of written and spoken English and Chinese, and proficiency in Mandarin is a plus.