Senior Compliance Manager – Securities & FinTech

Futu Holdings Limited; Hong Kong; On-site; HKD 550,000 - 750,000; Full time

Job summary

Futu Holdings Limited in Hong Kong is seeking a Compliance professional with a minimum of 5 years’ experience in financial institutions and fintech exposure. You will supervise licensing matters, provide advisory support across brokerage and wealth management, and review legal/compliance contracts to strengthen internal controls.

The role requires strong knowledge of SFC rules, bilingual proficiency in English and Chinese, and the ability to work independently while coordinating with

Qualifications

• Minimum 5 years of compliance experience in financial institutions
• Experience in fintech is an advantage
• Professional qualification on AML or compliance is an advantage
• Sound knowledge of Securities and Futures Commission rules and regulatory requirements
• Strong communication and problem-solving skills
• Fluent in English and Chinese (Putonghua)

Responsibilities

• Assist to supervise licensing related works and offer advice on licensing issues
• Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
• Review and advise on legal and compliance contracts and documentation
• Handle and implement compliance requests with internal stakeholders to enhance internal controls and procedures
• Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from auditors, exchanges and regulators
• Conduct compliance training
• Perform ad hoc compliance projects as assigned

Skills

AML/compliance qualification

Regulatory knowledge (SFC)

English & Chinese proficiency

Education

Degree holder in Law, Business or Finance

Job description

• Assist to supervise licensing related works and offer advice on licensing issues
• Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
• Review and advise on legal and compliance contracts and documentation
• Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the company
• Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, exchanges and regulators
• Conduct compliance training
• Perform ad hoc compliance projects as assigned

Requirements

• Degree holder in Law, Business, Finance or related disciplines
• Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage
• Professional qualification on AML or compliance is an advantage
• Sound knowledge in rules and regulations of Securities and Futures Commission and relevant regulatory requirements
• Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills
• Proficiency in written and spoken English and Chinese (including Putonghua)