Regulatory Compliance Associate – Trade Surveillance

Futu Holdings Limited

Hong Kong

On-site

HKD 420,000 - 680,000

Full time

3 days ago

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Job summary

Futu Holdings Limited is seeking a Compliance professional in Hong Kong to support day-to-day compliance matters including trade surveillance and regulatory reporting. The role involves providing compliance guidance for business initiatives and assisting in audits and investigations by exchanges and regulators.

The ideal candidate is a university graduate with good English and Chinese, Putonghua a plus, and proficiency in MS Office.

Qualifications

University/College graduate.
Relevant work experience in financial or securities industry preferable.
Proficient in written and spoken English and Chinese; Putonghua a plus.
Proficiency in MS Office applications.
Responsible, hardworking, well-organized, and able to work under pressure.
Good team player with strong interpersonal and analytical skills.

Responsibilities

Assist in day-to-day compliance matters including trade surveillance work.
Provide compliance advice and support business initiatives.
Handle regulatory reporting and inquiries with Exchanges and Regulators.
Carry out compliance testing for securities brokerage and related businesses.
Assist in internal and external audits, inspections and investigations by Exchanges and Regulators.
Monitor regulatory changes and update policies and procedures.
Coordinate remediation with various departments and stakeholders.
Assist in ad hoc projects as required.