Senior Compliance Leader: Securities & Risk Oversight

Futu Holdings Limited; Hong Kong; On-site; HKD 1,800,000 - 3,600,000; Full time

Job summary

Futu Holdings Limited in Hong Kong seeks a Head of Compliance to develop and maintain a comprehensive regulatory program across all business units. You will oversee policies, procedures, and controls, and lead a team to ensure ongoing adherence to securities regulations.

You will monitor regulatory changes, conduct risk assessments, train staff, and provide strategic guidance to senior management, Board, and risk committees, while managing the compliance budget and reporting on performance and

Qualifications

• Bachelor's degree in finance, law, business administration, or related field; JD/MBA preferred.
• 10+ years in compliance within securities, with at least 5 in senior leadership.
• Strong understanding of financial products, markets and trading practices.
• Excellent leadership, communication, and interpersonal skills.
• Proven ability to manage complex projects and drive change; integrity

Responsibilities

• Develop and maintain a comprehensive regulatory compliance program across all units.
• Oversee implementation and ongoing management of policies, procedures, and controls.
• Monitor changes in securities laws and update the program accordingly.
• Conduct regular risk assessments and mitigate identified issues.
• Lead and supervise the compliance team.
• Coordinate internal audits and regulatory examinations; respond to inquiries.
• Develop and deliver compliance training for all employees.
• Advise senior management on compliance matters and risks.
• Manage the compliance budget and resources.
• Prepare and present regular reports to the Board and senior management.

Skills

Regulatory compliance

Leadership

Risk assessment

Regulatory reporting

Training programs

Communication skills

Budget management

Project management

Interpersonal skills

Ethical standards

Education

Bachelor's degree in finance, law, or business administration

JD or MBA preferred

Tools

Compliance software

Job description

Futu Holdings Limited in Hong Kong seeks a Head of Compliance to develop and maintain a comprehensive regulatory program across all business units. You will oversee policies, procedures, and controls, and lead a team to ensure ongoing adherence to securities regulations.

You will monitor regulatory changes, conduct risk assessments, train staff, and provide strategic guidance to senior management, Board, and risk committees, while managing the compliance budget and reporting on performance and