Senior Compliance Officer, Securities & Wealth (FinTech)

Futu Holdings Limited; Hong Kong; In loco; HKD 650.000 - 900.000; Tempo pieno

Descrizione del lavoro

Futu Holdings Limited is seeking an experienced Compliance professional to supervise licensing matters and provide guidance across the securities brokerage and wealth management units. The role focuses on regulatory compliance, contract review, and coordinating audits with internal teams and regulators.

The ideal candidate holds a degree in Law/Business/Finance, with at least five years in compliance within financial institutions.

Competenze

• Minimum 5 years of compliance experience in financial institutions.
• Professional qualification on AML or compliance is an advantage.
• Sound knowledge of Securities and Futures Commission rules and regulatory requirements.
• Self-motivated, able to work independently, detail oriented with good interpersonal skills.
• Proficiency in written and spoken English and Chinese (including Putonghua).

Mansioni

• Assist to supervise licensing related works and advise on licensing issues.
• Provide compliance advice to business units in relation to securities brokerage and wealth management.
• Review and advise on legal and compliance contracts and documentation.
• Handle and implement compliance requests with internal stakeholders to enhance internal controls.
• Manage internal and external audits, regulatory filings and inspections.

Conoscenze

AML compliance

Regulatory knowledge

Attention to detail

Independent working

English proficiency

Putonghua

Formazione

Degree in Law/Business/Finance

Descrizione del lavoro

Futu Holdings Limited is seeking an experienced Compliance professional to supervise licensing matters and provide guidance across the securities brokerage and wealth management units. The role focuses on regulatory compliance, contract review, and coordinating audits with internal teams and regulators.

The ideal candidate holds a degree in Law/Business/Finance, with at least five years in compliance within financial institutions.